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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

V•••• A••••••••• A•••• M••••••••• L••

Former SEC-registered adviserHoboken, New JerseyCRD 134390SEC 801-65411IAPD
Latest filing Mar 27, 2018
First filing on the tape Mar 27, 2012 · 10 filings
RAUM
$107M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
89%
$95.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$107M as of Mar 27, 2018
Mar 27, 2012$120M then
HNW client RAUM: $22.1M
State-registered IARs (5.B.3)2 as of Mar 27, 2018
Mar 27, 20120 then
Employees (5.A)2 as of Mar 27, 2018
Mar 14, 20133 then
Private funds: no history
RAUM -7.1% over the last fiscal year-11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2018; every figure names its basis
RAUM per advisor
$53.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$669,707derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • Individuals$73.8M69%
  • High-net-worth individuals$22.1M21%
  • Charitable organizations$9.8M9.2%
  • Insurance companies$1.5M1.4%
Individual clients
129reported
HNW clients
20reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
160reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $49.0M managedreported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• R••••••• H••••• · Managing Member And Chief Investment Officercontrol
        since 12/2001 · owns 75% or more
      • F•••••• V•••••••• L••••• · Chief Compliance Officer, Member
        since 12/2001 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • B•••••••• F•••••••• P••••••• L••
        investment advisern
      Advisers that list V•••• A••••••••• A•••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 188 to 160
        Mar 15, 2017 to Mar 27, 2018
      • HNW clients · unset to 20.0
        Mar 15, 2017 to Mar 27, 2018
      • Individual clients · unset to 129.0
        Mar 15, 2017 to Mar 27, 2018
      • Employees · 3 to 2
        Mar 15, 2017 to Mar 27, 2018
      • Financial planning clients · 101-250 to unset
        Mar 15, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 15, 2017 to Mar 27, 2018
      • Discretionary RAUM · $98.6M to $97.9M
        Mar 15, 2017 to Mar 27, 2018
      • HNW RAUM · unset to 22100263.0
        Mar 15, 2017 to Mar 27, 2018
      • Individual RAUM · unset to 73766897.0
        Mar 15, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · $16.8M to $9.2M
        Mar 15, 2017 to Mar 27, 2018
      • RAUM · $115M to $107M
        Mar 15, 2017 to Mar 27, 2018
      • Wrap assets (manager) · unset to 48976319.0
        Mar 15, 2017 to Mar 27, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Mar 15, 2017 to Mar 27, 2018
      • Accounts · 178 to 188
        Jun 1, 2016 to Mar 15, 2017
      • Advisory activities · 4 to 3
        Jun 1, 2016 to Mar 15, 2017
      • Insurance-licensed employees · 2 to 0
        Jun 1, 2016 to Mar 15, 2017
      • Financial planning clients · 26-50 to 101-250
        Jun 1, 2016 to Mar 15, 2017
      • Discretionary RAUM · $85.5M to $98.6M
        Jun 1, 2016 to Mar 15, 2017
      • Non-discretionary RAUM · $47.2M to $16.8M
        Jun 1, 2016 to Mar 15, 2017
      • RAUM · $133M to $115M
        Jun 1, 2016 to Mar 15, 2017
      • Accounts · 191 to 178
        Nov 4, 2015 to Mar 28, 2016
      • Insurance-licensed employees · 0 to 2
        Nov 4, 2015 to Mar 28, 2016
      • Financial planning clients · unset to 26-50
        Nov 4, 2015 to Mar 28, 2016
      • Discretionary RAUM · $101M to $85.5M
        Nov 4, 2015 to Mar 28, 2016
      • Non-discretionary RAUM · $53.2M to $47.2M
        Nov 4, 2015 to Mar 28, 2016
      • RAUM · $154M to $133M
        Nov 4, 2015 to Mar 28, 2016
      • Accounts · 178 to 191
        Mar 18, 2014 to Mar 14, 2015
      • Advisory employees · 3 to 2
        Mar 18, 2014 to Mar 14, 2015
      • Employees · 4 to 3
        Mar 18, 2014 to Mar 14, 2015
      • Financial planning clients · 11-25 to unset
        Mar 18, 2014 to Mar 14, 2015
      • State-registered IARs · 1 to 2
        Mar 18, 2014 to Mar 14, 2015
      • Discretionary RAUM · $81.1M to $101M
        Mar 18, 2014 to Mar 14, 2015
      • Non-discretionary RAUM · $56.0M to $53.2M
        Mar 18, 2014 to Mar 14, 2015
      • RAUM · $137M to $154M
        Mar 18, 2014 to Mar 14, 2015
      • RAUM · $111M to $137M
        Mar 14, 2013 to Mar 18, 2014
      • Accounts · 152 to 178
        Mar 14, 2013 to Mar 18, 2014
      • Advisory employees · 2 to 3
        Mar 14, 2013 to Mar 18, 2014
      • Employees · 3 to 4
        Mar 14, 2013 to Mar 18, 2014
      • Discretionary RAUM · $63.2M to $81.1M
        Mar 14, 2013 to Mar 18, 2014
      • Non-discretionary RAUM · $47.6M to $56.0M
        Mar 14, 2013 to Mar 18, 2014
      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