DFX Intelligence
RIA Intelligence
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SEC-registered adviser
V••••••••• L••
Latest filing Apr 2, 2026
First filing on the tape Mar 30, 2012 · 22 filings
SEC status approved since Oct 26, 2001
RAUM
$577M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$123M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$577M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$577M as of Apr 2, 2026
Mar 30, 2012$175M then
HNW client RAUM$105M as of Apr 2, 2026
Mar 30, 2018$34.6M then
State-registered IARs (5.B.3)0 as of Apr 2, 2026
Mar 28, 20130 then
Employees (5.A)6 as of Apr 2, 2026
Mar 28, 20138 then
Private funds1 as of Apr 2, 2026
Mar 30, 20121 then
RAUM +34% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $577MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $173MreportedItem 5.I
- Custody
- $850,406, 2 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$440M76%
- High-net-worth individuals$105M18%
- Individuals$18.2M3.2%
- Charitable organizations$11.2M1.9%
- Corporations and businesses$2.3M0.4%
- Individual clients
- 44reported
- HNW clients
- 33reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 85reported
- Financial planning clients
- reported
- Wrap fee programs
- $86.5M sponsored, $115M managedreported
- Custody of client assets
- $850,406 for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.21 fund_share=0.76 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• S•••••• L••••••••Chartered Financial Analyst | New York City, Ny | Jan 22, 2019 | 39 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••••• L•••••• P••••••• L• | Hedge Fund | $162M | 75 | Apr 7, 2021 |
| V••••••••• L•••••• P••••••• L•no longer reported | Hedge Fund | $73.5M | 80 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- L••••••••• C••••••• S•••••• · Managing Membercontrolsince 10/2001 · owns 75% or more
- D•• P••••• M••••• J••• · Chief Compliance Officersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- V••••••••• C•••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Lime, NH1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Apr 2, 2026RAUM per account of $6,791,460 against a peer median of $610,947 (1443 comparable advisers, 98.0th percentile, 4.2 robust deviations)peers: independent wealth managers, $500M to $1B (1,443) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 105 to 85Apr 30, 2025 to Apr 2, 2026
- Corporate clients · 5 to 3Apr 30, 2025 to Apr 2, 2026
- HNW clients · 35 to 33Apr 30, 2025 to Apr 2, 2026
- Individual clients · 59 to 44Apr 30, 2025 to Apr 2, 2026
- Pension plan clients · 1 to 0Apr 30, 2025 to Apr 2, 2026
- Assets in custody · $11.8M to $850,406Apr 30, 2025 to Apr 2, 2026
- Discretionary RAUM · $429M to $577MApr 30, 2025 to Apr 2, 2026
- HNW RAUM · $102M to $105MApr 30, 2025 to Apr 2, 2026
- Individual RAUM · $21.0M to $18.2MApr 30, 2025 to Apr 2, 2026
- Pension RAUM · $1.2M to $0Apr 30, 2025 to Apr 2, 2026
- Pooled vehicle RAUM · $293M to $440MApr 30, 2025 to Apr 2, 2026
- RAUM · $429M to $577MApr 30, 2025 to Apr 2, 2026
- Wrap assets (manager) · $103M to $115MApr 30, 2025 to Apr 2, 2026
- Wrap assets (sponsor) · $82.1M to $86.5MApr 30, 2025 to Apr 2, 2026
- Accounts · 98 to 105Apr 2, 2024 to Apr 30, 2025
- Charity clients · 2 to 3Apr 2, 2024 to Apr 30, 2025
- HNW clients · 31 to 35Apr 2, 2024 to Apr 30, 2025
- Individual clients · 57 to 59Apr 2, 2024 to Apr 30, 2025
- Pension plan clients · 2 to 1Apr 2, 2024 to Apr 30, 2025
- Pooled vehicle clients · 1 to 2Apr 2, 2024 to Apr 30, 2025
- Assets in custody · $293M to $11.8MApr 2, 2024 to Apr 30, 2025
- Custody of client assets · false to trueApr 2, 2024 to Apr 30, 2025
- Financial planning clients · unset to Apr 2, 2024 to Apr 30, 2025
- Discretionary RAUM · $312M to $429MApr 2, 2024 to Apr 30, 2025
- HNW RAUM · $100M to $102MApr 2, 2024 to Apr 30, 2025
- Individual RAUM · $22.6M to $21.0MApr 2, 2024 to Apr 30, 2025
- Pension RAUM · $1.8M to $1.2MApr 2, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $176M to $293MApr 2, 2024 to Apr 30, 2025
- RAUM · $312M to $429MApr 2, 2024 to Apr 30, 2025
- Wrap assets (manager) · $24.2M to $103MApr 2, 2024 to Apr 30, 2025
- Wrap assets (sponsor) · $91.3M to $82.1MApr 2, 2024 to Apr 30, 2025
- Accounts · 112 to 98Oct 11, 2023 to Apr 2, 2024
- Charity clients · 1 to 2Oct 11, 2023 to Apr 2, 2024
- Corporate clients · 8 to 5Oct 11, 2023 to Apr 2, 2024
- HNW clients · 21 to 31Oct 11, 2023 to Apr 2, 2024
- Individual clients · 41 to 57Oct 11, 2023 to Apr 2, 2024
- Pension plan clients · 40 to 2Oct 11, 2023 to Apr 2, 2024
- Discretionary RAUM · $293M to $312MOct 11, 2023 to Apr 2, 2024
- HNW RAUM · $72.0M to $100MOct 11, 2023 to Apr 2, 2024
- Individual RAUM · $16.6M to $22.6MOct 11, 2023 to Apr 2, 2024
Signals
3 dated events
- V••••••••• L•• reported RAUM $577.3M, up 34% from $429.4M (2025-04-30 to 2026-04-02)Apr 2, 2026 · RAUM change · derived
- V••••••••• L•• reported RAUM $429.4M, up 38% from $312.1M (2024-04-02 to 2025-04-30)Apr 30, 2025 · RAUM change · derived
- Isaac Zell Steven (Coo) no longer on Schedule A of V••••••••• L•• (listed 2020-06-29, absent 2021-04-07)Apr 7, 2021 · Control person left · inference
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
- 212-819-1463reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-819-1818reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-567-4523reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- V•••••••••LLC.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-819-1818reportedpublic record, Form ADV, Apr 2, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $577Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026