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•• L•••••• • C••••••• L••
Latest filing Mar 14, 2024
First filing on the tape Mar 24, 2015 · 20 filings
RAUM
$309M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$294M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$309M as of Mar 14, 2024
Mar 24, 2015$143M then
HNW client RAUM$239M as of Mar 14, 2024
Mar 27, 2018$145M then
State-registered IARs (5.B.3)4 as of Mar 14, 2024
Mar 24, 20153 then
Employees (5.A)7 as of Mar 14, 2024
Mar 24, 20158 then
Private funds: no history
RAUM +12% over the last fiscal year+4.8% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- $77.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $60.3M, 47 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$239M78%
- Individuals$54.8M18%
- Charitable organizations$6.4M2.1%
- Pension and profit-sharing plans$5.0M1.6%
- Corporations and businesses$3.2M1.0%
- Individual clients
- 151reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 242reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.3M for 47 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
- K•••••• W•••••• V•• L•••••• to L•• F•••••••• L••Jun 28, 2024 · RIA to affiliated broker-dealer or bank
- V•••• G• S••• to L•• F•••••••• L••Jun 28, 2024 · RIA to affiliated broker-dealer or bank
- J••• B•••• S••• to L•• F•••••••• L••Jun 28, 2024 · RIA to affiliated broker-dealer or bank
- J•••••• P••• M••••••••• to L•• F•••••••• L••Jun 28, 2024 · RIA to affiliated broker-dealer or bank
- J•••• F•••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 8, 2022 · RIA to affiliated broker-dealer or bank
- D••••• M•••••• G••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 14, 2015 · Other
- C•••••• J• M•••••• to J••• M••••• S••••••••• L••Mar 7, 2014 · Other
Joined, latest
- J•••••• P••• M••••••••• from O•••• F•• I•••Aug 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• F•••• from A••••••••• F•••••••• S•••••••• L••Dec 1, 2016 · Other
- C•••••• J• M•••••• from L•• F•••••••• L••Feb 5, 2013 · Other
- D••••• M•••••• G••••• from L•• F•••••••• L••Dec 23, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for L•• F•••••••• L••Jun 28, 2024 · Princeton, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•• L••••••• K••••••• W•••••• · Managing Director/Chief Compliance Officercontrolsince 05/1997 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Highland Beach, Fl | 0 | 0 | 0 | ||
| Princeton, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Highland Beach, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 588 to 242May 4, 2023 to Mar 14, 2024
- Charity clients · 8 to 10May 4, 2023 to Mar 14, 2024
- Corporate clients · unset to 6.0May 4, 2023 to Mar 14, 2024
- HNW clients · 65 to 71May 4, 2023 to Mar 14, 2024
- Individual clients · 165 to 151May 4, 2023 to Mar 14, 2024
- Assets in custody · $67.6M to $60.3MMay 4, 2023 to Mar 14, 2024
- Discretionary RAUM · $274M to $309MMay 4, 2023 to Mar 14, 2024
- HNW RAUM · $209M to $239MMay 4, 2023 to Mar 14, 2024
- Individual RAUM · $58.0M to $54.8MMay 4, 2023 to Mar 14, 2024
- Pension RAUM · $3.5M to $5.0MMay 4, 2023 to Mar 14, 2024
- RAUM · $274M to $309MMay 4, 2023 to Mar 14, 2024
- Other offices · 0 to 1Mar 20, 2023 to May 4, 2023
- Accounts · 555 to 588Nov 18, 2022 to Mar 20, 2023
- BD registered reps · 3 to 4Nov 18, 2022 to Mar 20, 2023
- Charity clients · 10 to 8Nov 18, 2022 to Mar 20, 2023
- HNW clients · 63 to 65Nov 18, 2022 to Mar 20, 2023
- Individual clients · 156 to 165Nov 18, 2022 to Mar 20, 2023
- Pension plan clients · 5.0 to unsetNov 18, 2022 to Mar 20, 2023
- Assets in custody · $48.8M to $67.6MNov 18, 2022 to Mar 20, 2023
- Employees · 6 to 7Nov 18, 2022 to Mar 20, 2023
- Discretionary RAUM · $316M to $274MNov 18, 2022 to Mar 20, 2023
- HNW RAUM · $237M to $209MNov 18, 2022 to Mar 20, 2023
- Individual RAUM · $67.5M to $58.0MNov 18, 2022 to Mar 20, 2023
- Pension RAUM · $5.1M to $3.5MNov 18, 2022 to Mar 20, 2023
- RAUM · $316M to $274MNov 18, 2022 to Mar 20, 2023
- Other offices · 1 to 0Mar 24, 2022 to May 5, 2022
- Accounts · 507 to 555Jan 25, 2022 to Mar 24, 2022
- Advisory employees · 5 to 4Jan 25, 2022 to Mar 24, 2022
- BD registered reps · 4 to 3Jan 25, 2022 to Mar 24, 2022
- Charity clients · 6 to 10Jan 25, 2022 to Mar 24, 2022
- HNW clients · 87 to 63Jan 25, 2022 to Mar 24, 2022
- Individual clients · 117 to 156Jan 25, 2022 to Mar 24, 2022
- Pension plan clients · unset to 5.0Jan 25, 2022 to Mar 24, 2022
- Assets in custody · $69.7M to $48.8MJan 25, 2022 to Mar 24, 2022
- Employees · 7 to 6Jan 25, 2022 to Mar 24, 2022
- State-registered IARs · 5 to 4Jan 25, 2022 to Mar 24, 2022
- Discretionary RAUM · $268M to $316MJan 25, 2022 to Mar 24, 2022
- HNW RAUM · $226M to $237MJan 25, 2022 to Mar 24, 2022
- Individual RAUM · $30.7M to $67.5MJan 25, 2022 to Mar 24, 2022
- Pension RAUM · $4.3M to $5.1MJan 25, 2022 to Mar 24, 2022
Signals
7 dated events
- J••• B•••• S••• left V•• L•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2024-10-09)Jun 28, 2024 · Advisor changed firm · fact
- K•••••• W•••••• V•• L•••••• left V•• L•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2024-05-16)Jun 28, 2024 · Advisor changed firm · fact
- V•••• G• S••• left V•• L•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2024-05-16)Jun 28, 2024 · Advisor changed firm · fact
- J•••••• P••• M••••••••• left V•• L•••••• • C••••••• L•• for L•• F•••••••• L•• (registered 2024-05-16)Jun 28, 2024 · Advisor changed firm · fact
- V•• L•••••• • C••••••• L••'s advisors moved to L•• F•••••••• L•• (Princeton, NJ): 3 of 4 registered, on the same dayJun 28, 2024 · Firm absorbed (people side) · derived
- J•••• F•••• left V•• L•••••• • C••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-07-11)Mar 8, 2022 · Advisor changed firm · fact
- V•• L•••••• • C••••••• L•• filed its initial SEC registration (Form ADV)Mar 24, 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