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•••••••• I•••
Latest filing Dec 21, 2015
First filing on the tape Mar 20, 2012 · 7 filings
RAUM
$168M
reported, Item 5.F
Discretionary
95%
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
3
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$168M as of Feb 19, 2015
Mar 20, 2012$111M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Feb 19, 2015
Mar 20, 20120 then
Employees (5.A)9 as of Feb 19, 2015
Mar 21, 20134 then
Private funds10 as of Feb 19, 2015
Mar 21, 20141 then
RAUM +9.9% over the last fiscal year+15% a year over threeIARs 4 to 2
Practice profile
derived from the filing of Dec 21, 2015; every figure names its basis
- RAUM per advisor
- $83.9MderivedRAUM 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
- $50,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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
- 3,308reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
Left, latest
- A••• R••••• D••••• to A•••••• P••••••• P•••••••• I•••Dec 31, 2015 · Other
- P•••••• K••• R•••••• to M••••• S••••• W••••• M••••••••• A•••••••• L••Aug 18, 2015 · Other
- K••• B• T••••••• to M••••• S••••• W••••• M••••••••• A•••••••• L••May 13, 2015 · Other
Joined, latest
none on the tape
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••• F••• L••• H•••••• L••no longer reported | Other Private Fund | $10.9M | 65 | Mar 21, 2014 |
| F••••••••• L•• | Other Private Fund | $10.9M | 1 | Feb 19, 2015 |
| B••• C••• G•••• L•• | Real Estate Fund | $7.8M | 21 | Feb 19, 2015 |
| H• L••• G• | Other Private Fund | $3.0M | 3 | Feb 19, 2015 |
| V•••• J• W••• H••••••• L•• | Real Estate Fund | $1.4M | 20 | Feb 19, 2015 |
| V•••• C•••• B••• I• L•• | Private Equity Fund | $725,000 | 16 | Feb 19, 2015 |
| V•••• S••••• H••••••• L•• | Real Estate Fund | $650,000 | 20 | Feb 19, 2015 |
| R••••••• H•••••• L•• | Real Estate Fund | $600,000 | 10 | Feb 19, 2015 |
| V•••• C•••• B••• L•• | Private Equity Fund | $409,950 | 8 | Feb 19, 2015 |
| V•••• 7•• N•••• H•••••• L•• | Real Estate Fund | $350,000 | 9 | Feb 19, 2015 |
| V•••• C•••• B••• I•• L•• | Private Equity Fund | $190,000 | 5 | Feb 19, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• A•••• R••••• · Vice President, Secretary, Directorcontrolsince 01/2001 · owns 50% to 75%
- H•••• M••••••• D•••• · President, Treasurer, Director & Chief Compliance Officercontrolsince 01/2000 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 5 to 2Feb 19, 2015 to Dec 21, 2015
- Assets in custody · 432422.0 to unsetFeb 19, 2015 to Dec 21, 2015
- Custody of client assets · true to falseFeb 19, 2015 to Dec 21, 2015
- Employees · 9 to 3Feb 19, 2015 to Dec 21, 2015
- State-registered IARs · 5 to 2Feb 19, 2015 to Dec 21, 2015
- Private funds · 10 to unsetFeb 19, 2015 to Dec 21, 2015
- Accounts · 2,145 to 3,308Mar 21, 2014 to Feb 19, 2015
- Advisory employees · 4 to 5Mar 21, 2014 to Feb 19, 2015
- Assets in custody · $24.1M to $432,422Mar 21, 2014 to Feb 19, 2015
- Employees · 4 to 9Mar 21, 2014 to Feb 19, 2015
- State-registered IARs · 4 to 5Mar 21, 2014 to Feb 19, 2015
- Private funds · 1 to 10Mar 21, 2014 to Feb 19, 2015
- Discretionary RAUM · $153M to $159MMar 21, 2014 to Feb 19, 2015
- Non-discretionary RAUM · $0 to $8.5MMar 21, 2014 to Feb 19, 2015
- RAUM · $153M to $168MMar 21, 2014 to Feb 19, 2015
- Accounts · 2,720 to 2,145Oct 7, 2013 to Mar 21, 2014
- Assets in custody · $25.4M to $24.1MOct 7, 2013 to Mar 21, 2014
- Private funds · unset to 1Oct 7, 2013 to Mar 21, 2014
- Discretionary RAUM · $127M to $153MOct 7, 2013 to Mar 21, 2014
- RAUM · $127M to $153MOct 7, 2013 to Mar 21, 2014
- Assets in custody · unset to 25442656.0Jul 15, 2013 to Oct 7, 2013
- Custody of client assets · false to trueJul 15, 2013 to Oct 7, 2013
- Accounts · 2,458 to 2,720Mar 20, 2012 to Mar 21, 2013
- Advisory employees · unset to 4.0Mar 20, 2012 to Mar 21, 2013
- Employees · unset to 4.0Mar 20, 2012 to Mar 21, 2013
- State-registered IARs · 0 to 4Mar 20, 2012 to Mar 21, 2013
- Discretionary RAUM · $111M to $127MMar 20, 2012 to Mar 21, 2013
- RAUM · $111M to $127MMar 20, 2012 to Mar 21, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- V•••• P•••••••• I••• · Private Equityshared crd · organization
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•••••••• I••• 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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