DFX 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.

V•• C••••• J••••• A•• W•••• I•••

Former SEC-registered adviserFormer SEC adviser· Bronxville, New York

Former SEC-registered adviser, based in Bronxville, New York, reporting $52.9M of regulatory assets.

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

As of 2019-10-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $52.9M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -8.0%
Private clients: 82% of RAUM, $43.3M

Advisors Advisor movement Where the RAUM sits

As of 2019-10-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 14 Form ADV filings for this adviser, the latest 7.0 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 126636 · SEC 801-63759 · 14 filingsShow

CRD 126636SEC 801-63759Legal name V•• C••••• J•••••• A•• W•••• I•••First filing on the tape Mar 12, 2012, latest Oct 16, 2019IAPD

RAUM

$52.9M

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

82%

$43.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$52.9M as of Oct 16, 2019

Oct 1, 2012$60.0M then

HNW client RAUM$22.5M as of Oct 16, 2019

Oct 23, 2017$27.6M then

State-registered IARs (5.B.3)0 as of Oct 16, 2019

Oct 1, 20120 then

Employees (5.A)2 as of Oct 16, 2019

Oct 3, 20133 then

Private funds: no history

RAUM -8.0% over the last fiscal year+0.8% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 16, 2019; 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: $3.2MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -8.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +3.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$22.5M42%
Individuals$20.9M39%
Charitable organizations$5.6M11%
Pension and profit-sharing plans$3.9M7.3%
Corporations and businesses$92,2370.2%

Individual clients: 26reported
HNW clients: 7reported
Pension plan clients: 1reported
Charitable clients: 2reported
Accounts: 37reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R••••• G•••• J••• · President And Cio/Chief Compliance Officercontrol
since 07/2004 · owns 75% or more
S•••••••• N•••••• R•• · Director Of Research
since 01/2012 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 35 to 37
Oct 19, 2018 to Oct 16, 2019
Advisory employees · 2 to 1
Oct 19, 2018 to Oct 16, 2019
Charity clients · 1 to 2
Oct 19, 2018 to Oct 16, 2019
HNW clients · 10 to 7
Oct 19, 2018 to Oct 16, 2019
Individual clients · 22 to 26
Oct 19, 2018 to Oct 16, 2019
Assets in custody · 2575105.0 to unset
Oct 19, 2018 to Oct 16, 2019
Custody of client assets · true to false
Oct 19, 2018 to Oct 16, 2019
Employees · 3 to 2
Oct 19, 2018 to Oct 16, 2019
Financial planning clients · unset to 0
Oct 19, 2018 to Oct 16, 2019
Discretionary RAUM · $53.3M to $49.0M
Oct 19, 2018 to Oct 16, 2019
HNW RAUM · $38.7M to $22.5M
Oct 19, 2018 to Oct 16, 2019
Individual RAUM · $8.8M to $20.9M
Oct 19, 2018 to Oct 16, 2019
Non-discretionary RAUM · $4.2M to $3.9M
Oct 19, 2018 to Oct 16, 2019
Pension RAUM · $4.1M to $3.9M
Oct 19, 2018 to Oct 16, 2019
RAUM · $57.5M to $52.9M
Oct 19, 2018 to Oct 16, 2019
Accounts · 116 to 35
Oct 23, 2017 to Oct 19, 2018
Advisory activities · 2 to 1
Oct 23, 2017 to Oct 19, 2018
Charity clients · unset to 1.0
Oct 23, 2017 to Oct 19, 2018
Corporate clients · unset to 1.0
Oct 23, 2017 to Oct 19, 2018
HNW clients · 6 to 10
Oct 23, 2017 to Oct 19, 2018
Individual clients · 28 to 22
Oct 23, 2017 to Oct 19, 2018
Pension plan clients · unset to 1.0
Oct 23, 2017 to Oct 19, 2018
Discretionary RAUM · $53.1M to $53.3M
Oct 23, 2017 to Oct 19, 2018
HNW RAUM · $27.6M to $38.7M
Oct 23, 2017 to Oct 19, 2018
Individual RAUM · $19.9M to $8.8M
Oct 23, 2017 to Oct 19, 2018
Non-discretionary RAUM · $4.1M to $4.2M
Oct 23, 2017 to Oct 19, 2018
Pension RAUM · $3.9M to $4.1M
Oct 23, 2017 to Oct 19, 2018
Pooled vehicle RAUM · unset to 0.0
Oct 23, 2017 to Oct 19, 2018
RAUM · $57.2M to $57.5M
Oct 23, 2017 to Oct 19, 2018
Accounts · 123 to 116
May 25, 2017 to Oct 23, 2017
HNW clients · unset to 6.0
May 25, 2017 to Oct 23, 2017
Individual clients · unset to 28.0
May 25, 2017 to Oct 23, 2017
Pooled vehicle clients · unset to 0.0
May 25, 2017 to Oct 23, 2017
Assets in custody · $2.5M to $2.6M
May 25, 2017 to Oct 23, 2017
Financial planning clients · 0 to unset
May 25, 2017 to Oct 23, 2017
Other offices · unset to 1.0
May 25, 2017 to Oct 23, 2017
Discretionary RAUM · $49.1M to $53.1M
May 25, 2017 to Oct 23, 2017
HNW RAUM · unset to 27565391.0
May 25, 2017 to Oct 23, 2017
Individual RAUM · unset to 19890988.0
May 25, 2017 to Oct 23, 2017
Non-discretionary RAUM · $2.5M to $4.1M
May 25, 2017 to Oct 23, 2017

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