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.

Former SEC-registered adviser

Vantage Financial Partners Limited

Former SEC-registered adviserArlington Heights, IllinoisCRD 123351SEC 801-69709IAPD
Latest filing Mar 19, 2024
First filing on the tape Mar 23, 2012 · 40 filings
RAUM
$572M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$569M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$572M as of Mar 18, 2024
Mar 23, 2012$214M then
HNW client RAUM$376M as of Mar 18, 2024
Mar 23, 2018$377M then
State-registered IARs (5.B.3)9 as of Mar 18, 2024
Mar 23, 20120 then
Employees (5.A)15 as of Mar 18, 2024
Mar 20, 201313 then
Private funds: no history
RAUM +13% over the last fiscal year+0.2% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Mar 19, 2024; every figure names its basis
RAUM per advisor
$63.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.1MderivedHNW RAUM over HNW clients
Average account
$562,311derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
9.0derived1 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
-5.7%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program
$569MreportedItem 5.I
Custody
$94.9M, 68 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$376M66%
  • Individuals$193M34%
  • Pension and profit-sharing plans$3.0M0.5%
Individual clients
306reported
HNW clients
74reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
1,018reported
Financial planning clients
11-25reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$94.9M for 68 clientsreported
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
Left, latest
Joined, latest
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
    • Richard Michael Rohrwasser · Presidentcontrol
      since 01/1996 · owns 75% or more
    • Rae Kimberly Taylor · Vice Presidentcontrol
      since 09/2009 · owns less than 5%
    • S Andrew Warning · Chief Compliance Officer
      since 12/2021 · owns less than 5%
    • E Daniel Zalipski · Investment Manager
      since 01/2023 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Arlington Heights, Il · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,002 to 1,018
      Oct 16, 2023 to Mar 18, 2024
    • HNW clients · 130 to 74
      Oct 16, 2023 to Mar 18, 2024
    • Individual clients · 273 to 306
      Oct 16, 2023 to Mar 18, 2024
    • Assets in custody · $71.5M to $94.9M
      Oct 16, 2023 to Mar 18, 2024
    • Employees · 17 to 15
      Oct 16, 2023 to Mar 18, 2024
    • Financial planning clients · 101-250 to 11-25
      Oct 16, 2023 to Mar 18, 2024
    • Discretionary RAUM · $502M to $569M
      Oct 16, 2023 to Mar 18, 2024
    • HNW RAUM · $404M to $376M
      Oct 16, 2023 to Mar 18, 2024
    • Individual RAUM · $98.2M to $193M
      Oct 16, 2023 to Mar 18, 2024
    • Non-discretionary RAUM · $5.0M to $3.0M
      Oct 16, 2023 to Mar 18, 2024
    • Pension RAUM · $5.0M to $3.0M
      Oct 16, 2023 to Mar 18, 2024
    • RAUM · $507M to $572M
      Oct 16, 2023 to Mar 18, 2024
    • Accounts · 968 to 1,002
      Nov 7, 2022 to Mar 21, 2023
    • Advisory employees · 10 to 9
      Nov 7, 2022 to Mar 21, 2023
    • HNW clients · 153 to 130
      Nov 7, 2022 to Mar 21, 2023
    • Individual clients · 213 to 273
      Nov 7, 2022 to Mar 21, 2023
    • Assets in custody · $64.6M to $71.5M
      Nov 7, 2022 to Mar 21, 2023
    • Employees · 16 to 17
      Nov 7, 2022 to Mar 21, 2023
    • State-registered IARs · 10 to 9
      Nov 7, 2022 to Mar 21, 2023
    • Discretionary RAUM · $591M to $502M
      Nov 7, 2022 to Mar 21, 2023
    • HNW RAUM · $501M to $404M
      Nov 7, 2022 to Mar 21, 2023
    • Individual RAUM · $90.6M to $98.2M
      Nov 7, 2022 to Mar 21, 2023
    • Non-discretionary RAUM · $5.8M to $5.0M
      Nov 7, 2022 to Mar 21, 2023
    • Pension RAUM · $5.8M to $5.0M
      Nov 7, 2022 to Mar 21, 2023
    • RAUM · $597M to $507M
      Nov 7, 2022 to Mar 21, 2023
    • Accounts · 964 to 968
      Nov 18, 2021 to Mar 28, 2022
    • Advisory employees · 8 to 10
      Nov 18, 2021 to Mar 28, 2022
    • Charity clients · 1 to 0
      Nov 18, 2021 to Mar 28, 2022
    • HNW clients · 146 to 153
      Nov 18, 2021 to Mar 28, 2022
    • Individual clients · 253 to 213
      Nov 18, 2021 to Mar 28, 2022
    • Assets in custody · $39.3M to $64.6M
      Nov 18, 2021 to Mar 28, 2022
    • Employees · 15 to 16
      Nov 18, 2021 to Mar 28, 2022
    • State-registered IARs · 8 to 10
      Nov 18, 2021 to Mar 28, 2022
    • Discretionary RAUM · $563M to $591M
      Nov 18, 2021 to Mar 28, 2022
    • HNW RAUM · $461M to $501M
      Nov 18, 2021 to Mar 28, 2022
    • Individual RAUM · $102M to $90.6M
      Nov 18, 2021 to Mar 28, 2022
    • Non-discretionary RAUM · $5.8M to $5.8M
      Nov 18, 2021 to Mar 28, 2022
    • Pension RAUM · $5.8M to $5.8M
      Nov 18, 2021 to Mar 28, 2022
    • RAUM · $569M to $597M
      Nov 18, 2021 to Mar 28, 2022
    • Accounts · 880 to 964
      Feb 1, 2021 to Mar 29, 2021
    Signals
    10 dated events
    • Michael Richard Rohrwasser left Vantage Financial Partners Limited for Lpl Financial Llc (registered 1998-09-21)
      Sep 2, 2024 · Advisor changed firm · fact
    • Joseph Edward Fortunato left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-06)
      Jul 31, 2024 · Advisor changed firm · fact
    • Thomas Patrick Vislisel left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-03)
      Jul 31, 2024 · Advisor changed firm · fact
    • Scott Michael Rosenquist left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-04)
      Jul 31, 2024 · Advisor changed firm · fact
    • Johnathan Mitchell Kulikowski left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-03)
      Jul 31, 2024 · Advisor changed firm · fact
    • Daniel Eugene Zalipski left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-04)
      Jul 31, 2024 · Advisor changed firm · fact
    • Kimberly Rae Taylor left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-03)
      Jul 31, 2024 · Advisor changed firm · fact
    • Jon William Flaherty left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-06)
      Jul 31, 2024 · Advisor changed firm · fact
    • Kyle Michael Rohrwasser left Vantage Financial Partners Limited for Highpoint Planning Partners (registered 2024-06-04)
      Jul 31, 2024 · Advisor changed firm · fact
    • Vantage Financial Partners Limited's advisors moved to Highpoint Planning Partners (Arlington Heights, IL): 8 of 9 registered, on the same day
      Jul 31, 2024 · Firm absorbed (people side) · derived
    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