DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

V••••••• P•••••••• L••

Former SEC-registered adviserBirmingham, MichiganCRD 115501SEC 801-60576IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$767M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
10
$272M gross assets
History
19 filings and snapshots on the tape
RAUM$767M as of Mar 30, 2018
Mar 30, 2012$346M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20120 then
Employees (5.A)9 as of Mar 30, 2018
Apr 1, 201312 then
Private funds16 as of Mar 30, 2018
Mar 30, 201210 then
RAUM +9.9% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$45.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+9.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$767M, 17 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$767M100%
  • Corporations and businesses$73,5900.0%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$767M for 17 clientsreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••••• O••••••••• F••• I• A••••• L••Real Estate Fund$252M54Mar 30, 2012
      G•••• V•••• F•••• L••Real Estate Fund$11.3M5Mar 29, 2014
      V••••••• O••••••••• F•••• L••Real Estate Fund$5.4M3Mar 30, 2012
      V••••••• O••••••••• F••• I•• A••••• L••Real Estate Fund$2.0M17Mar 30, 2012
      V••••••• O••••••••• F••• I••••• A••••• L••Real Estate Fund$763,28433Mar 30, 2012
      V••••••• O••••••••• F••• I• A••••• L••Real Estate Fund$433,0123Mar 30, 2012
      V••••••• O••••••••• F••• I•• L••Real Estate Fund$5,43354Mar 30, 2012
      V••••••• O••••••••• F••• I••• L••Real Estate Fund$32617Mar 30, 2012
      V••••••• O••••••••• F••• I•••••• L••Real Estate Fund$13833Mar 30, 2012
      V••••••• O••••••••• F••• I•• L••Real Estate Fund$783Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• E•••• R•••••• · Member - V••••••• P•••••••• L••control
        since 03/1999 · owns 10% to 25%
      • J•••••••• L••••• E•••• · Manager/Member - V••••••• Partners IV(B), LLC ("Relying Advisor")control
        since 10/2010 · owns less than 5%
      • T•••••• G•••••• C•••••• · Manager/Member - V••••••• P•••••••• L••control
        since 03/1999 · owns 50% to 75%
      • J•••••••• K••••••••• V••••••• · Member, T•••••••• L••, Member Of V••••••• P•••••••• L••control
        since 05/2017 · owns 75% or more of T•••••••• L••
      • J•••••••• L••••• E•••• · Manager/Member, T••••••••• L••, Member Of V••••••• P•••••••• L••control
        since 05/2017 · owns 75% or more of T••••••••• L••
      • T•••••• G•••••• C•••••• · Manager/Member, D•••••• L•••• L••, Member Of V••••••• P•••••••• L•• (Effective 06/2013)control
        since 03/2014 · owns 50% to 75% of V••••••• P•••••••• L••
      • T•••••• T••••••• F•••• · Member, D•••••• L•••• L••, Member Of V••••••• P•••••••• L•• (Effective 06/2013)control
        since 03/2014 · owns 25% to 50% of D•••••• L•••• L••
      • W••••• S••••• A••••• · Chief Compliance Officer
        since 05/2016 · owns less than 5%
      Entity owners
      • D•••••• L•••• L•• · Member - V••••••• P•••••••• L•• (Effective 06/2013)
        direct · owns 50% to 75%
      • T••••••••• L•• · Member - V••••••• P•••••••• L••
        direct · owns 10% to 25%
      • T•••••••• L•• · Member - V••••••• P•••••••• L••
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Baltimore, MD3 employees
      What changed
      consecutive filings, newest first
      • Private funds · 16 to 10
        Apr 30, 2018 to Mar 29, 2019
      • Advisory employees · 8 to 9
        Feb 2, 2018 to Mar 30, 2018
      • Pooled vehicle clients · unset to 16.0
        Feb 2, 2018 to Mar 30, 2018
      • Assets in custody · $698M to $767M
        Feb 2, 2018 to Mar 30, 2018
      • Employees · 8 to 9
        Feb 2, 2018 to Mar 30, 2018
      • Discretionary RAUM · $698M to $767M
        Feb 2, 2018 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 767114786.0
        Feb 2, 2018 to Mar 30, 2018
      • RAUM · $698M to $767M
        Feb 2, 2018 to Mar 30, 2018
      • Related adviser · true to false
        Feb 2, 2018 to Mar 30, 2018
      • Private funds · 15 to 16
        Jan 18, 2018 to Feb 2, 2018
      • Other offices · unset to 2.0
        Jul 10, 2017 to Jan 18, 2018
      • Accounts · 16 to 17
        Jun 30, 2016 to Mar 31, 2017
      • Assets in custody · $495M to $698M
        Jun 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $495M to $698M
        Jun 30, 2016 to Mar 31, 2017
      • RAUM · $495M to $698M
        Jun 30, 2016 to Mar 31, 2017
      • Accounts · 14 to 16
        May 11, 2015 to Mar 30, 2016
      • Advisory employees · 7 to 8
        May 11, 2015 to Mar 30, 2016
      • Assets in custody · $421M to $495M
        May 11, 2015 to Mar 30, 2016
      • Employees · 7 to 8
        May 11, 2015 to Mar 30, 2016
      • Private funds · 13 to 15
        May 11, 2015 to Mar 30, 2016
      • Discretionary RAUM · $504M to $495M
        May 11, 2015 to Mar 30, 2016
      • RAUM · $504M to $495M
        May 11, 2015 to Mar 30, 2016
      • Advisory employees · 9 to 7
        May 1, 2014 to Mar 30, 2015
      • Assets in custody · $440M to $421M
        May 1, 2014 to Mar 30, 2015
      • Employees · 9 to 7
        May 1, 2014 to Mar 30, 2015
      • Discretionary RAUM · $440M to $504M
        May 1, 2014 to Mar 30, 2015
      • RAUM · $440M to $504M
        May 1, 2014 to Mar 30, 2015
      • Accounts · 12 to 14
        May 6, 2013 to Mar 29, 2014
      • Advisory employees · 11 to 9
        May 6, 2013 to Mar 29, 2014
      • Assets in custody · $350M to $440M
        May 6, 2013 to Mar 29, 2014
      • Employees · 12 to 9
        May 6, 2013 to Mar 29, 2014
      • Private funds · 10 to 13
        May 6, 2013 to Mar 29, 2014
      • Discretionary RAUM · $336M to $440M
        May 6, 2013 to Mar 29, 2014
      • Non-discretionary RAUM · $15.1M to $0
        May 6, 2013 to Mar 29, 2014
      • RAUM · $351M to $440M
        May 6, 2013 to Mar 29, 2014
      • Accounts · 13 to 12
        Dec 12, 2012 to Apr 1, 2013
      • Advisory employees · 9 to 11
        Dec 12, 2012 to Apr 1, 2013
      • Assets in custody · $317M to $350M
        Dec 12, 2012 to Apr 1, 2013
      • Employees · 10 to 12
        Dec 12, 2012 to Apr 1, 2013
      • Discretionary RAUM · $330M to $336M
        Dec 12, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      V••••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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