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•• B•••••• • A••••••••• I•••

Former SEC-registered adviserThe Dalles, OregonCRD 117724SEC 801-100455IAPD
Latest filing Feb 24, 2017
First filing on the tape Jun 25, 2015 · 7 filings
RAUM
$305M
reported, Item 5.F
Discretionary
74%
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
11
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$305M as of Feb 24, 2017
Jan 19, 2016$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 24, 2017
Jan 19, 20163 then
Employees (5.A)11 as of Feb 24, 2017
Jan 19, 201611 then
Private funds: no history
RAUM +79% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 24, 2017; every figure names its basis
RAUM per advisor
$102MderivedRAUM 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
$115,663derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+79%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,641reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • V•• B••••••• W•••• · President & Chief Compliance Officercontrol
        since 06/2002 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Portland, OR
      What changed
      consecutive filings, newest first
      • Accounts · 2,307 to 2,641
        Sep 20, 2016 to Feb 24, 2017
      • Discretionary RAUM · $198M to $226M
        Sep 20, 2016 to Feb 24, 2017
      • Non-discretionary RAUM · $91.5M to $79.7M
        Sep 20, 2016 to Feb 24, 2017
      • RAUM · $290M to $305M
        Sep 20, 2016 to Feb 24, 2017
      • Accounts · 1,353 to 2,307
        Jan 19, 2016 to May 5, 2016
      • Discretionary RAUM · $0 to $198M
        Jan 19, 2016 to May 5, 2016
      • Non-discretionary RAUM · $171M to $91.5M
        Jan 19, 2016 to May 5, 2016
      • RAUM · $171M to $290M
        Jan 19, 2016 to May 5, 2016
      • Accounts · 1,224 to 1,353
        Nov 10, 2015 to Jan 19, 2016
      • Advisory employees · 3 to 2
        Nov 10, 2015 to Jan 19, 2016
      • BD registered reps · 5 to 4
        Nov 10, 2015 to Jan 19, 2016
      • Employees · 9 to 11
        Nov 10, 2015 to Jan 19, 2016
      • State-registered IARs · 2 to 3
        Nov 10, 2015 to Jan 19, 2016
      • Non-discretionary RAUM · $104M to $171M
        Nov 10, 2015 to Jan 19, 2016
      • RAUM · $104M to $171M
        Nov 10, 2015 to Jan 19, 2016
      Signals
      1 dated events
      • V•• B•••••• • A••••••••• I••• filed its initial SEC registration (Form ADV)
        Jun 25, 2015 · 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.
      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