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

V•• E•• A••••••• R••••• A••••••• C••••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 137177SEC 801-65186IAPD
Legal name V•• E•• A••••••• R••••• A••••••• C•••••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 41 filings
SEC status approved since Jan 18, 2006
RAUM
$3.1B
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
271
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$3.1B as of Mar 30, 2026
Mar 29, 2012$628M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20130 then
Employees (5.A)271 as of Mar 30, 2026
Mar 26, 201317 then
Private funds7 as of Mar 30, 2026
Mar 29, 201218 then
RAUM +37% over the last fiscal year+54% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
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
$222MderivedRAUM 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
+37%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$464M, 6 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$2.6B85%
  • Pooled investment vehicles$464M15%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$464M for 6 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=109.0derived
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
      Every departureEvery arrival
      Private funds
      25 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••• A••••• 2• M••••• F••• L••no longer reportedHedge Fund$84.2M2Mar 29, 2012
      V••••• E••••••• M•••••• P••••••••Other Private Fund$80.8M10Mar 30, 2015
      V••••• D•••••• A••••• A•••• F•••• L•••Other Private Fund$79.5M41Mar 30, 2023
      H••• A••••• O••••••••• M••••• F••• L••no longer reportedHedge Fund$73.1M2Mar 29, 2012
      V••••• E••••••• M•••••• D••• O••••••••• F•••• L•Other Private Fund$55.7M2Mar 30, 2022
      L••• V•• E•• H••• A••••• F••• L••••••no longer reportedHedge Fund$51.0M10Mar 29, 2012
      H••• A••••• O••••••••• F••• L••no longer reportedHedge Fund$46.7M1Mar 29, 2012
      V••••• N•• F•••••• I••••• F•••• L•Other Private Fund$36.5M7Mar 30, 2022
      H••• A••••• 2• F••• L••no longer reportedHedge Fund$35.2M4Mar 29, 2012
      H••• A•••• P••••••• 2• L•no longer reportedHedge Fund$31.2M26Mar 29, 2012
      H••• A•••• P••••••• L•no longer reportedHedge Fund$20.5M20Mar 29, 2012
      V••••• S•••• C••••••• L•••••• F•••Other Private Fund$15.0M6Mar 30, 2023
      H••• A••••• M••••• N•••••• F••• L•• •••••• H••• A••••• P•••••••• L••no longer reportedHedge Fund$15.0M3Mar 29, 2012
      H••• A••••• O••••••••• F••• L•no longer reportedHedge Fund$12.4M14Mar 29, 2012
      H••• A••••• E•••• L••no longer reportedHedge Fund$11.8M1Mar 29, 2012
      G•••• S••••••••• M••••• F••• L••no longer reportedHedge Fund$9.1M1Mar 29, 2012
      G••••• E••••• O••••••••• P••••••• L•no longer reportedHedge Fund$8.0M17Mar 29, 2012
      G•••• S••••••••• L•no longer reportedHedge Fund$8.0M3Mar 29, 2012
      G••••• E••••• O••••••••• P••••••• L••••••••• T••••no longer reportedOther Private Fund$8.0M17Mar 30, 2015
      V•• E•• V••• L••••••••• E••••••• M•••••• F••• L•no longer reportedHedge Fund$4.7M2Mar 29, 2012
      V•• E•• V••• L••••••••• E••••••• M•••••• M••••• F••• L••no longer reportedHedge Fund$3.6M1Mar 29, 2012
      G••••• E••••• O••••••••• F••• L•••no longer reportedHedge Fund$1.2M1Mar 29, 2012
      G•••• S••••••••• L••no longer reportedHedge Fund$350,4871Mar 29, 2012
      V•• E•• N••••• O••••••••• F•••no longer reportedHedge Fund$00Mar 26, 2013
      V•• E•• V••• L••••••••• E••••••• M•••••• F••• L••no longer reportedHedge Fund$00Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• F••••••••• M•••••• · Vice President And Chief Compliance Officercontrol
        since 01/2018 · owns less than 5%
      • R••••••••• L••• R••••• · Vice President, Chief Financial Officer, Treasurer And Directorcontrol
        since 06/2023 · owns less than 5%
      • S••••• J•••••••• R••• · Senior Vice President, General Counsel, Secretary And Directorcontrol
        since 05/2014 · owns less than 5%
      • V•••••• J••• F•••••••• · President, Chief Executive Officer And Directorcontrol
        since 05/1997 · owns less than 5%
      Entity owners
      • V•• E•• A••••••••• C•••• · Parent Company
        direct · owns 75% or more
      • J•• F•••••••• V•• E•• R•••••••• T••••• J•• V•• E•• T•••••• · Shareholder
        indirect · owns 50% to 75% of V•• E•• A••••••••• C••••
      Related persons
      Schedule D 7.A
      • F• A••••••• S•••••••• L•••
        investment advisernRAUM $37.4M
      • I•••••• G••••• D• R••••••• L••••
        investment advisern
      • V•• E•• A••••••••• C••••
        investment adviseryRAUM $126B
      • V•• E•• S••••••••• C•••••••••
        broker-dealern
      • V••••• ••••••• G•••
        broker-dealerinvestment advisern
      • V••••• A•••• M••••••••• B•••
        investment advisern
      • V••••• D•••••• A••••• A•••• G•• L••
        pooled vehicle sponsorn
      • V••••• D•••••• A••••• G•• L••
        pooled vehicle sponsorn
      • V••••• D•••••• A•••••• L••
        pooled vehicle sponsorn
      • V••••• E•• A•
        pooled vehicle sponsorn
      • V••••• I••••••••• M••••••••• ••••••••• C••• L•••
        investment advisern
      • V••••• I••••••••• L••••••
        investment advisern
      • V••••• P•••••• F••• M••••••••• ••••••••• C••• L•••
        investment advisern
      • V••••• S•••••••• P••• L•••
        investment advisern
      Advisers that list V•• E•• A••••••• R••••• A••••••• C•••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 14
        Nov 4, 2025 to Mar 30, 2026
      • Advisory employees · 31 to 30
        Nov 4, 2025 to Mar 30, 2026
      • BD registered reps · 87 to 109
        Nov 4, 2025 to Mar 30, 2026
      • Pooled vehicle clients · 3 to 6
        Nov 4, 2025 to Mar 30, 2026
      • Assets in custody · $291M to $464M
        Nov 4, 2025 to Mar 30, 2026
      • Employees · 241 to 271
        Nov 4, 2025 to Mar 30, 2026
      • Private funds · 5 to 7
        Nov 4, 2025 to Mar 30, 2026
      • Discretionary RAUM · $2.3B to $3.1B
        Nov 4, 2025 to Mar 30, 2026
      • Pooled vehicle RAUM · $233M to $464M
        Nov 4, 2025 to Mar 30, 2026
      • RAUM · $2.3B to $3.1B
        Nov 4, 2025 to Mar 30, 2026
      • Financial planning clients · 0 to 0
        Mar 26, 2025 to Nov 4, 2025
      • Accounts · 10 to 8
        Mar 28, 2024 to Mar 26, 2025
      • Advisory employees · 30 to 31
        Mar 28, 2024 to Mar 26, 2025
      • BD registered reps · 81 to 87
        Mar 28, 2024 to Mar 26, 2025
      • Assets in custody · $205M to $291M
        Mar 28, 2024 to Mar 26, 2025
      • Employees · 224 to 241
        Mar 28, 2024 to Mar 26, 2025
      • Discretionary RAUM · $1.7B to $2.3B
        Mar 28, 2024 to Mar 26, 2025
      • Pooled vehicle RAUM · $125M to $233M
        Mar 28, 2024 to Mar 26, 2025
      • RAUM · $1.7B to $2.3B
        Mar 28, 2024 to Mar 26, 2025
      • Related bank · false to true
        Mar 28, 2024 to Mar 26, 2025
      • Accounts · 7 to 10
        Mar 1, 2024 to Mar 28, 2024
      • Advisory employees · 31 to 30
        Mar 1, 2024 to Mar 28, 2024
      • BD registered reps · 77 to 81
        Mar 1, 2024 to Mar 28, 2024
      • Assets in custody · $85.6M to $205M
        Mar 1, 2024 to Mar 28, 2024
      • Discretionary RAUM · $818M to $1.7B
        Mar 1, 2024 to Mar 28, 2024
      • Pooled vehicle RAUM · $57.3M to $125M
        Mar 1, 2024 to Mar 28, 2024
      • RAUM · $818M to $1.7B
        Mar 1, 2024 to Mar 28, 2024
      • Discretionary RAUM · $843M to $818M
        Apr 3, 2023 to Apr 19, 2023
      • Pooled vehicle RAUM · $82.2M to $57.3M
        Apr 3, 2023 to Apr 19, 2023
      • RAUM · $843M to $818M
        Apr 3, 2023 to Apr 19, 2023
      • Accounts · 4 to 7
        Apr 28, 2022 to Mar 30, 2023
      • Advisory employees · 28 to 31
        Apr 28, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 1 to 3
        Apr 28, 2022 to Mar 30, 2023
      • Assets in custody · unset to 85562974.0
        Apr 28, 2022 to Mar 30, 2023
      • Custody of client assets · false to true
        Apr 28, 2022 to Mar 30, 2023
      • Employees · 190 to 224
        Apr 28, 2022 to Mar 30, 2023
      • Private funds · 3 to 5
        Apr 28, 2022 to Mar 30, 2023
      • Discretionary RAUM · $714M to $843M
        Apr 28, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $10.2M to $82.2M
        Apr 28, 2022 to Mar 30, 2023
      • RAUM · $714M to $843M
        Apr 28, 2022 to Mar 30, 2023
      Signals
      6 dated events
      • V•• E•• A••••••• R••••• A••••••• C•••• reported RAUM $3.1B, up 37% from $2.3B (2025-11-04 to 2026-03-30)
        Mar 30, 2026 · RAUM change · derived
      • V•• E•• A••••••• R••••• A••••••• C•••• reported RAUM $2.3B, up 37% from $1.7B (2024-03-28 to 2025-03-26)
        Mar 26, 2025 · RAUM change · derived
      • V•• E•• A••••••• R••••• A••••••• C•••• reported RAUM $1.7B, up 102% from $818.5M (2024-03-01 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • John Bruce Smith (Director) no longer on Schedule A of V•• E•• A••••••• R••••• A••••••• C•••• (listed 2023-04-28, absent 2023-07-07)
        Jul 7, 2023 · Control person left · inference
      • V•• E•• A••••••• R••••• A••••••• C•••• reported RAUM $767.6M, up 75% from $437.6M (2021-10-12 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • V•• E•• A••••••• R••••• A••••••• C•••• reported RAUM $541.9M, up 42% from $382.6M (2018-01-25 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Principal office phone
      212-293-2000reportedpublic record, Form ADV, Mar 30, 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
      Asset manager (funds and pooled vehicles)deriveda 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