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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SEC-registered adviser
P••••• V••••••••• C••• L••
Latest filing May 1, 2026
First filing on the tape Feb 16, 2012 · 18 filings
SEC status approved since Aug 24, 2006
RAUM
$289M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$289M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$289M as of May 1, 2026
Feb 16, 2012$139M then
HNW client RAUM$282M as of May 1, 2026
Feb 1, 2018$171M then
State-registered IARs (5.B.3)0 as of May 1, 2026
Feb 16, 20120 then
Employees (5.A)1 as of May 1, 2026
Mar 8, 20131 then
Private funds: no history
RAUM +0.2% over the last fiscal year+2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 2026; 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
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM 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
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $3.0M, 36 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$282M98%
- Individuals$6.3M2.2%
- Individual clients
- 16reported
- HNW clients
- 39reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 201reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.0M for 36 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•• G••••••• P•••••• N•• · Chief Compliance Officercontrolsince 07/2003 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing May 1, 2026HNW RAUM per HNW client of $7,237,160 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.3 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 215 to 201Jul 9, 2025 to May 1, 2026
- HNW clients · 42 to 39Jul 9, 2025 to May 1, 2026
- Individual clients · 31 to 16Jul 9, 2025 to May 1, 2026
- Discretionary RAUM · $313M to $289MJul 9, 2025 to May 1, 2026
- HNW RAUM · $303M to $282MJul 9, 2025 to May 1, 2026
- Individual RAUM · $9.9M to $6.3MJul 9, 2025 to May 1, 2026
- RAUM · $313M to $289MJul 9, 2025 to May 1, 2026
- Assets in custody · unset to 3000000.0Mar 4, 2025 to Jul 9, 2025
- Custody of client assets · false to trueMar 4, 2025 to Jul 9, 2025
- Financial planning clients · unset to Mar 4, 2025 to Jul 9, 2025
- Accounts · 220 to 215Mar 29, 2024 to Mar 4, 2025
- HNW clients · 43 to 42Mar 29, 2024 to Mar 4, 2025
- Individual clients · 24 to 31Mar 29, 2024 to Mar 4, 2025
- Discretionary RAUM · $288M to $313MMar 29, 2024 to Mar 4, 2025
- HNW RAUM · $281M to $303MMar 29, 2024 to Mar 4, 2025
- Individual RAUM · $6.6M to $9.9MMar 29, 2024 to Mar 4, 2025
- RAUM · $288M to $313MMar 29, 2024 to Mar 4, 2025
- Accounts · 186 to 220Feb 24, 2023 to Mar 29, 2024
- HNW clients · 34 to 43Feb 24, 2023 to Mar 29, 2024
- Individual clients · 18 to 24Feb 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $239M to $288MFeb 24, 2023 to Mar 29, 2024
- HNW RAUM · $242M to $281MFeb 24, 2023 to Mar 29, 2024
- Individual RAUM · $4.6M to $6.6MFeb 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $8.0M to $0Feb 24, 2023 to Mar 29, 2024
- RAUM · $247M to $288MFeb 24, 2023 to Mar 29, 2024
- Accounts · 167 to 186Feb 9, 2022 to Feb 24, 2023
- HNW clients · 38 to 34Feb 9, 2022 to Feb 24, 2023
- Discretionary RAUM · $261M to $239MFeb 9, 2022 to Feb 24, 2023
- HNW RAUM · $261M to $242MFeb 9, 2022 to Feb 24, 2023
- Individual RAUM · $4.7M to $4.6MFeb 9, 2022 to Feb 24, 2023
- Non-discretionary RAUM · $4.0M to $8.0MFeb 9, 2022 to Feb 24, 2023
- RAUM · $265M to $247MFeb 9, 2022 to Feb 24, 2023
- Accounts · 174 to 167Mar 9, 2021 to Feb 9, 2022
- HNW clients · 33 to 38Mar 9, 2021 to Feb 9, 2022
- Individual clients · 17 to 18Mar 9, 2021 to Feb 9, 2022
- Discretionary RAUM · $221M to $261MMar 9, 2021 to Feb 9, 2022
- HNW RAUM · $216M to $261MMar 9, 2021 to Feb 9, 2022
- Individual RAUM · $5.2M to $4.7MMar 9, 2021 to Feb 9, 2022
- Non-discretionary RAUM · $0 to $4.0MMar 9, 2021 to Feb 9, 2022
- RAUM · $221M to $265MMar 9, 2021 to Feb 9, 2022
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 314-569-2677reportedpublic record, Form ADV, May 1, 2026
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
- Independent wealth managerderiveda 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