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••••• C•••••• • M•••••••••
Legal name V••••• C•••••• M••••••••• C•••••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 28, 2012 · 32 filings
SEC status approved since May 15, 2006
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$145M as of Mar 31, 2026
Feb 28, 2012$122M then
HNW client RAUM$123M as of Mar 31, 2026
Mar 20, 2018$104M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Feb 28, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 21, 20138 then
Private funds: no history
RAUM +20% over the last fiscal year-1.4% a year over threeIARs 2 to 2
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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.8MderivedHNW RAUM over HNW clients
- Average account
- $905,211derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $29.8M, 12 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$123M85%
- Individuals$14.0M9.6%
- Pension and profit-sharing plans$4.0M2.7%
- Corporations and businesses$2.2M1.5%
- Charitable organizations$2.0M1.4%
- Individual clients
- 38reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 160reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.8M for 12 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• L•••• V••••Certified Financial Planner | Mooresville, Nc | Feb 25, 2004 | 38 y | 0 |
| D•••• L•• P••••••• | Mooresville, Nc | Oct 13, 2016 | 21 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
- T•••• B•••••• M•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 15, 2014 · Other
- M•••••• D•••• H•••••••• to N••••••••• S••••••••• L••Aug 14, 2013 · Other
- K•••• J•••• B••••• to N••••••••• S••••••••• L••Aug 14, 2013 · Other
Joined, latest
- D•••• L•• P••••••• from U••••••• I••••••••• A•••••••• I•••Oct 13, 2016 · Other
- M•••••• D•••• H•••••••• from F•• S••••••••• C•••••••••Jun 18, 2013 · Other
- T•••• B•••••• M•••••• from F•• S••••••••• C•••••••••Jun 14, 2013 · Other
- K•••• J•••• B••••• from A•••••••• C•••••• M•••••••••Jan 26, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• J••••• L••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- V••••• E•••• L•••• · Presidentcontrolsince 12/2004 · owns 50% to 75%
- V••••• M•••• J• · Chief Executive Officercontrolsince 03/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Mooresville, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 156 to 160Mar 24, 2025 to Mar 31, 2026
- HNW clients · 19 to 21Mar 24, 2025 to Mar 31, 2026
- Individual clients · 34 to 38Mar 24, 2025 to Mar 31, 2026
- Assets in custody · $22.2M to $29.8MMar 24, 2025 to Mar 31, 2026
- Employees · 6 to 5Mar 24, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Mar 24, 2025 to Mar 31, 2026
- HQ city · D••••SON to Mar 24, 2025 to Mar 31, 2026
- HQ state · NC to Mar 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $121M to $145MMar 24, 2025 to Mar 31, 2026
- HNW RAUM · $101M to $123MMar 24, 2025 to Mar 31, 2026
- Individual RAUM · $10.7M to $14.0MMar 24, 2025 to Mar 31, 2026
- Pension RAUM · $3.5M to $4.0MMar 24, 2025 to Mar 31, 2026
- RAUM · $121M to $145MMar 24, 2025 to Mar 31, 2026
- Accounts · 170 to 156Mar 26, 2024 to Mar 24, 2025
- HNW clients · 21 to 19Mar 26, 2024 to Mar 24, 2025
- Individual clients · 35 to 34Mar 26, 2024 to Mar 24, 2025
- Assets in custody · unset to 22159601.0Mar 26, 2024 to Mar 24, 2025
- Custody of client assets · false to trueMar 26, 2024 to Mar 24, 2025
- Employees · 7 to 6Mar 26, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $159M to $121MMar 26, 2024 to Mar 24, 2025
- HNW RAUM · $138M to $101MMar 26, 2024 to Mar 24, 2025
- Individual RAUM · $8.7M to $10.7MMar 26, 2024 to Mar 24, 2025
- Pension RAUM · $3.1M to $3.5MMar 26, 2024 to Mar 24, 2025
- RAUM · $159M to $121MMar 26, 2024 to Mar 24, 2025
- Accounts · 177 to 170Mar 30, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Mar 30, 2023 to Mar 26, 2024
- Advisory activities · 5 to 4Mar 30, 2023 to Mar 26, 2024
- Charity clients · 2.0 to unsetMar 30, 2023 to Mar 26, 2024
- Corporate clients · 2.0 to unsetMar 30, 2023 to Mar 26, 2024
- HNW clients · 23 to 21Mar 30, 2023 to Mar 26, 2024
- Individual clients · 33 to 35Mar 30, 2023 to Mar 26, 2024
- Pension plan clients · 2.0 to unsetMar 30, 2023 to Mar 26, 2024
- State-registered IARs · 3 to 2Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $151M to $159MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $132M to $138MMar 30, 2023 to Mar 26, 2024
- Individual RAUM · $6.7M to $8.7MMar 30, 2023 to Mar 26, 2024
- Pension RAUM · $2.8M to $3.1MMar 30, 2023 to Mar 26, 2024
- RAUM · $151M to $159MMar 30, 2023 to Mar 26, 2024
- Accounts · 170 to 177Aug 8, 2022 to Mar 30, 2023
Signals
1 dated events
- Lynn Janet Messer (Chief Compliance Officer) appeared on Schedule A of V••••• C•••••• • M•••••••••Mar 30, 2023 · Control person joined · 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 email
- mail@visioncapitalmgt.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 704-894-9639reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-894-9639reportedpublic record, Form ADV, Mar 31, 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
- $72.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026