DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

S•••••• I••••••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $22.7M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$22.7M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-64%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 125888 · SEC 801-66855 · 7 filingsShow
CRD 125888SEC 801-66855Legal name J••• H• V•••••••First filing on the tape Mar 12, 2012, latest Feb 21, 2017IAPD
RAUM
$22.7M
reported, Item 5.F
Discretionary
100%
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
1
1 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$22.7M as of Feb 21, 2017
Mar 12, 2012$47.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 21, 2017
Mar 12, 20120 then
Employees (5.A)1 as of Feb 21, 2017
Mar 19, 20131 then
Private funds: no history
RAUM -64% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$428,961derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-64%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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
  • 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
53reported
Financial planning clients
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • V•••••••• J•••• H••••••• · President, Chief Compliance Officercontrol
        since 01/1990 · owns 75% or more
      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
      • Accounts · 160 to 53
        Jun 2, 2016 to Feb 21, 2017
      • Discretionary RAUM · $62.3M to $22.7M
        Jun 2, 2016 to Feb 21, 2017
      • Non-discretionary RAUM · $39,345 to $34,050
        Jun 2, 2016 to Feb 21, 2017
      • RAUM · $62.4M to $22.7M
        Jun 2, 2016 to Feb 21, 2017
      • Accounts · 158 to 160
        Mar 5, 2015 to Mar 14, 2016
      • Employees · 2 to 1
        Mar 5, 2015 to Mar 14, 2016
      • Discretionary RAUM · $61.4M to $62.3M
        Mar 5, 2015 to Mar 14, 2016
      • Non-discretionary RAUM · $44,594 to $39,345
        Mar 5, 2015 to Mar 14, 2016
      • RAUM · $61.4M to $62.4M
        Mar 5, 2015 to Mar 14, 2016
      • Discretionary RAUM · $57.7M to $61.4M
        Mar 18, 2014 to Mar 5, 2015
      • Non-discretionary RAUM · $138,787 to $44,594
        Mar 18, 2014 to Mar 5, 2015
      • RAUM · $57.8M to $61.4M
        Mar 18, 2014 to Mar 5, 2015
      • Employees · 1 to 2
        Mar 19, 2013 to Mar 18, 2014
      • Discretionary RAUM · $51.7M to $57.7M
        Mar 19, 2013 to Mar 18, 2014
      • Non-discretionary RAUM · $128,495 to $138,787
        Mar 19, 2013 to Mar 18, 2014
      • RAUM · $51.8M to $57.8M
        Mar 19, 2013 to Mar 18, 2014
      • Accounts · 155 to 158
        Mar 12, 2012 to Mar 19, 2013
      • Advisory employees · unset to 1.0
        Mar 12, 2012 to Mar 19, 2013
      • Advisory activities · 4 to 3
        Mar 12, 2012 to Mar 19, 2013
      • Employees · unset to 1.0
        Mar 12, 2012 to Mar 19, 2013
      • Discretionary RAUM · $47.6M to $51.7M
        Mar 12, 2012 to Mar 19, 2013
      • Non-discretionary RAUM · $130,669 to $128,495
        Mar 12, 2012 to Mar 19, 2013
      • RAUM · $47.7M to $51.8M
        Mar 12, 2012 to Mar 19, 2013
      Signals
      No event on the tape.
      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