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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SEC-registered adviser
V•••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Feb 3, 2012 · 17 filings
SEC status approved since Mar 16, 2018
RAUM
$324M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
87%
$283M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$81.0M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$324M as of Mar 31, 2026
Feb 3, 2012$44.8M then
HNW client RAUM$243M as of Mar 31, 2026
Mar 30, 2019$113M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Feb 3, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Mar 30, 20193 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $81.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $595,475derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $293M, 177 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$243M75%
- Individuals$39.3M12%
- Corporations and businesses$35.9M11%
- Charitable organizations$5.2M1.6%
- Individual clients
- 102reported
- HNW clients
- 78reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 544reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $293M for 177 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D••••• F•••••••Chartered Financial Analyst | Pittsburgh, Pa | Jan 13, 2003 | 38 y | 0 |
| M•••••• J••••• V•••••••• | Pittsburgh, Pa | Aug 28, 2014 | 12 y | 0 |
| L••••••• E•••••• E•••• | Pittsburgh, Pa | Jun 6, 2018 | 23 y | 2 |
| D•••• C••••• T••••• D••••• | Pittsburgh, Pa | Aug 30, 2023 | 14 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- B•••• S•••• S•••••• to M••••••• C••••• W••••• S•••••••• I•••Dec 21, 2007 · Other
Joined, latest
- D•••• C••••• T••••• D••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 30, 2023 · Wirehouse to independent RIA
- L••••••• E•••••• E•••• from G••••••• I••••••••• A•••••••• I•••••••••Jun 6, 2018 · RIA to RIA
- B•••• S•••• S•••••• from G••••••• I••••••••• A•••• M•••••••••Oct 23, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• J•••• D••••• · President, Chief Executive Officercontrolsince 08/2002 · owns less than 5%
- V••••••••• M••••••• J••••• · Chief Compliance Officer, Chief Operations Officercontrolsince 02/2018 · owns less than 5%
- F•••••••• J•••• D••••• · Membercontrolsince 10/2022 · owns 75% or more of F••••••• H•••••••• L••
- V••••••••• M••••••• J••••• · Membercontrolsince 10/2022 · owns 75% or more of S•••••• P•••••••• L••
Entity owners
- F••••••• H•••••••• L•• · Memberdirect · owns 75% or more
- S•••••• P•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 530 to 544Mar 29, 2025 to Mar 31, 2026
- HNW clients · 77 to 78Mar 29, 2025 to Mar 31, 2026
- Individual clients · 99 to 102Mar 29, 2025 to Mar 31, 2026
- Assets in custody · $257M to $293MMar 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $282M to $319MMar 29, 2025 to Mar 31, 2026
- HNW RAUM · $213M to $243MMar 29, 2025 to Mar 31, 2026
- Individual RAUM · $33.9M to $39.3MMar 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $4.1M to $4.7MMar 29, 2025 to Mar 31, 2026
- RAUM · $286M to $324MMar 29, 2025 to Mar 31, 2026
- Accounts · 523 to 530Mar 31, 2024 to Mar 29, 2025
- HNW clients · 76 to 77Mar 31, 2024 to Mar 29, 2025
- Assets in custody · $247M to $257MMar 31, 2024 to Mar 29, 2025
- Financial planning clients · 0 to 0Mar 31, 2024 to Mar 29, 2025
- Discretionary RAUM · $270M to $282MMar 31, 2024 to Mar 29, 2025
- HNW RAUM · $204M to $213MMar 31, 2024 to Mar 29, 2025
- Individual RAUM · $31.3M to $33.9MMar 31, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $3.8M to $4.1MMar 31, 2024 to Mar 29, 2025
- RAUM · $274M to $286MMar 31, 2024 to Mar 29, 2025
- Accounts · 507 to 523Mar 31, 2023 to Mar 31, 2024
- Advisory employees · 3 to 4Mar 31, 2023 to Mar 31, 2024
- Corporate clients · 4 to 5Mar 31, 2023 to Mar 31, 2024
- HNW clients · 68 to 76Mar 31, 2023 to Mar 31, 2024
- Individual clients · 96 to 99Mar 31, 2023 to Mar 31, 2024
- Assets in custody · $178M to $247MMar 31, 2023 to Mar 31, 2024
- Employees · 3 to 4Mar 31, 2023 to Mar 31, 2024
- State-registered IARs · 3 to 4Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $205M to $270MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $166M to $204MMar 31, 2023 to Mar 31, 2024
- Individual RAUM · $26.8M to $31.3MMar 31, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $2.9M to $3.8MMar 31, 2023 to Mar 31, 2024
- RAUM · $208M to $274MMar 31, 2023 to Mar 31, 2024
- Accounts · 479 to 507Nov 15, 2022 to Mar 31, 2023
- HNW clients · 62 to 68Nov 15, 2022 to Mar 31, 2023
- Individual clients · 99 to 96Nov 15, 2022 to Mar 31, 2023
- Assets in custody · $180M to $178MNov 15, 2022 to Mar 31, 2023
- Discretionary RAUM · $209M to $205MNov 15, 2022 to Mar 31, 2023
- HNW RAUM · $166M to $166MNov 15, 2022 to Mar 31, 2023
- Individual RAUM · $31.5M to $26.8MNov 15, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $3.2M to $2.9MNov 15, 2022 to Mar 31, 2023
- RAUM · $212M to $208MNov 15, 2022 to Mar 31, 2023
Signals
1 dated events
- V•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 412-203-2117reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-301-3204reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/vista-imreportedpublic record, Form ADV, Sep 18, 2026
- Website
- vista-im.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-824-5940reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- vista-im.com/teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $81.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026