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V•••••• A•••• M•••••••••

Wealth manager with institutional or fund businessSEC-registered· New York, New Yorkwebsite

Wealth manager with institutional or fund business, based in New York, New York, reporting $1.0B of regulatory assets across 2 registered advisors.

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

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.0B
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 48%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-18 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 18 Mar 2026, RAUM $844M to $1.01B (+19.5%) on the Form ADV filed 18 Mar 2026.

Every filed figure, and the identifiersCRD 137772 · SEC 801-64986 · 24 filingsShow

CRD 137772SEC 801-64986Legal name V•••••• R••••••• M••••••••• L••First filing on the tape Mar 29, 2012, latest Mar 18, 2026SEC status approved since Dec 15, 2005IAPD

RAUM

$1.0B

reported, Item 5.F

Discretionary

90%

of RAUM

Private clients

48%

$487M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$505M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.0B as of Mar 18, 2026

Mar 29, 2012$233M then

HNW client RAUM$436M as of Mar 18, 2026

Mar 30, 2018$89.7M then

State-registered IARs (5.B.3)0 as of Mar 18, 2026

Mar 29, 20120 then

Employees (5.A)4 as of Mar 18, 2026

Mar 28, 20134 then

Private funds2 as of Mar 30, 2015

Mar 29, 20121 then

RAUM +19% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 18, 2026; every figure names its basis

Archetypes

Dual wealth and asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: $505MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 412derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.7MderivedHNW RAUM over HNW clients
Average account: $795,116derivedRAUM over accounts (5.F.2.f)
Discretionary: 90%derivedof RAUM
Institutional: 38%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -35%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

43% high-net-worth individuals, 25% state and municipal entities, and 6 other client types

The breakdown by client type, and the client counts8 client typesShow

High-net-worth individuals$436M43%
State and municipal entities$253M25%
Insurance companies$122M12%
Banks and thrifts$88.9M8.8%
Individuals$50.5M5.0%
Corporations and businesses$49.0M4.9%
Charitable organizations$5.0M0.5%
Pension and profit-sharing plans$4.0M0.4%

Individual clients: 659reported
HNW clients: 164reported
Pension plan clients: 8reported
Charitable clients: 6reported
Accounts: 1,269reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 48% private clients, 0% pooled funds, 38% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
N••• J•••••• P•••••Chartered Financial Analyst	Glen Allen, Va	Apr 10, 2025	21 y	0
J••••• R••••• C•••••••	Glen Allen, Va	Sep 9, 2025	11 y	0

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
V•••••• R••••••• O••••••••• F••• L•no longer reported	Hedge Fund	$1.6M	10	Mar 29, 2012
V•••••• R••••••• O••••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$1.6M	11	Jan 29, 2013

Owners and control persons

Schedule A and B, latest filing

D•••••••• A•••••• S••• · Managing Membercontrol
since 01/2005 · owns 50% to 75%
P•••••• N•••• J•••••• · Chief Investment Officer, Managing Member, Chiefcontrol
since 01/2005 · owns 10% to 25%

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
Glen Allen, Va	2	0	0

Offices

Schedule D 1.F, the 25 largest

Glen Allen, VA4 employees

ADV anomalies

2 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Mar 18, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $844,496,986 to $1,009,001,603, advisors 0 to 0, private clients 1271 to 823, offices 1 to 1 (2025-03-18 to 2026-03-18)
peers: independent wealth managers, $1B to $5B (1,363)
client count collapseChange between filings · filing Mar 18, 2026
individual and HNW clients (Item 5.D) moved from 1,271.0 to 823.0 (-35.0%) between the annual amendments of 2025-03-18 and 2026-03-18; the peer median change was +5.0% (1132 comparable advisers, 2.0th percentile of changes)
peers: independent wealth managers, $1B to $5B (1,132) · 2.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 1,324 to 1,269
Jul 2, 2025 to Mar 18, 2026
Charity clients · 10 to 6
Jul 2, 2025 to Mar 18, 2026
Corporate clients · 12 to 13
Jul 2, 2025 to Mar 18, 2026
HNW clients · 111 to 164
Jul 2, 2025 to Mar 18, 2026
Individual clients · 1,160 to 659
Jul 2, 2025 to Mar 18, 2026

Full history · 80 changes

Pension plan clients · 16 to 8
Jul 2, 2025 to Mar 18, 2026
Discretionary RAUM · $772M to $910M
Jul 2, 2025 to Mar 18, 2026
HNW RAUM · $380M to $436M
Jul 2, 2025 to Mar 18, 2026
Individual RAUM · $54.4M to $50.5M
Jul 2, 2025 to Mar 18, 2026
Non-discretionary RAUM · $72.8M to $98.8M
Jul 2, 2025 to Mar 18, 2026
Pension RAUM · $4.0M to $4.0M
Jul 2, 2025 to Mar 18, 2026
RAUM · $844M to $1.0B
Jul 2, 2025 to Mar 18, 2026
Financial planning clients · 1-10 to 1-10
Mar 18, 2025 to Jul 2, 2025
Accounts · 1,771 to 1,324
Mar 12, 2024 to Mar 18, 2025
Charity clients · 15 to 10
Mar 12, 2024 to Mar 18, 2025
Corporate clients · 15 to 12
Mar 12, 2024 to Mar 18, 2025
HNW clients · 122 to 111
Mar 12, 2024 to Mar 18, 2025
Individual clients · 1,573 to 1,160
Mar 12, 2024 to Mar 18, 2025
Pension plan clients · 32 to 16
Mar 12, 2024 to Mar 18, 2025
Discretionary RAUM · $731M to $772M
Mar 12, 2024 to Mar 18, 2025
HNW RAUM · $419M to $380M
Mar 12, 2024 to Mar 18, 2025
Individual RAUM · $86.3M to $54.4M
Mar 12, 2024 to Mar 18, 2025
Non-discretionary RAUM · $115M to $72.8M
Mar 12, 2024 to Mar 18, 2025
Pension RAUM · $30.4M to $4.0M
Mar 12, 2024 to Mar 18, 2025
RAUM · $846M to $844M
Mar 12, 2024 to Mar 18, 2025
Accounts · 2,621 to 1,771
Mar 17, 2023 to Mar 12, 2024
Charity clients · 19 to 15
Mar 17, 2023 to Mar 12, 2024
Corporate clients · 10 to 15
Mar 17, 2023 to Mar 12, 2024
HNW clients · 675 to 122
Mar 17, 2023 to Mar 12, 2024
Individual clients · 1,900 to 1,573
Mar 17, 2023 to Mar 12, 2024
Pension plan clients · 5 to 32
Mar 17, 2023 to Mar 12, 2024
Discretionary RAUM · $619M to $731M
Mar 17, 2023 to Mar 12, 2024
HNW RAUM · $434M to $419M
Mar 17, 2023 to Mar 12, 2024
Individual RAUM · $115M to $86.3M
Mar 17, 2023 to Mar 12, 2024
Non-discretionary RAUM · $119M to $115M
Mar 17, 2023 to Mar 12, 2024
Pension RAUM · $5.0M to $30.4M
Mar 17, 2023 to Mar 12, 2024
RAUM · $739M to $846M
Mar 17, 2023 to Mar 12, 2024
Accounts · 2,425 to 2,621
Feb 7, 2023 to Mar 17, 2023
Advisory activities · 4 to 5
Feb 7, 2023 to Mar 17, 2023
Business name · V•••••• A•••• M••••••••• C•••••• to V•••••• A•••• M•••••••••
Feb 7, 2023 to Mar 17, 2023
Charity clients · 10 to 19
Feb 7, 2023 to Mar 17, 2023
Corporate clients · 6 to 10
Feb 7, 2023 to Mar 17, 2023
HNW clients · 211 to 675
Feb 7, 2023 to Mar 17, 2023
Individual clients · 960 to 1,900
Feb 7, 2023 to Mar 17, 2023
Pension plan clients · 25 to 5
Feb 7, 2023 to Mar 17, 2023
Financial planning clients · unset to 1-10
Feb 7, 2023 to Mar 17, 2023
Discretionary RAUM · $607M to $619M
Feb 7, 2023 to Mar 17, 2023
HNW RAUM · $429M to $434M
Feb 7, 2023 to Mar 17, 2023
Individual RAUM · $112M to $115M
Feb 7, 2023 to Mar 17, 2023
Non-discretionary RAUM · $146M to $119M
Feb 7, 2023 to Mar 17, 2023
Pension RAUM · $29.2M to $5.0M
Feb 7, 2023 to Mar 17, 2023
RAUM · $754M to $739M
Feb 7, 2023 to Mar 17, 2023
Accounts · 1,354 to 2,425
Mar 15, 2021 to Mar 21, 2022
Advisory employees · 3 to 4
Mar 15, 2021 to Mar 21, 2022
Advisory activities · 3 to 4
Mar 15, 2021 to Mar 21, 2022
Charity clients · 5 to 10
Mar 15, 2021 to Mar 21, 2022
HNW clients · 528 to 211
Mar 15, 2021 to Mar 21, 2022
Individual clients · 802 to 960
Mar 15, 2021 to Mar 21, 2022
Pension plan clients · 4 to 25
Mar 15, 2021 to Mar 21, 2022
Financial planning clients · 0 to unset
Mar 15, 2021 to Mar 21, 2022
Discretionary RAUM · $438M to $607M
Mar 15, 2021 to Mar 21, 2022
HNW RAUM · $330M to $429M
Mar 15, 2021 to Mar 21, 2022
Individual RAUM · $77.1M to $112M
Mar 15, 2021 to Mar 21, 2022
Non-discretionary RAUM · $118M to $146M
Mar 15, 2021 to Mar 21, 2022
Pension RAUM · $4.0M to $29.2M
Mar 15, 2021 to Mar 21, 2022
RAUM · $556M to $754M
Mar 15, 2021 to Mar 21, 2022
Accounts · 749 to 1,354
Jul 1, 2020 to Mar 15, 2021
Charity clients · 0 to 5
Jul 1, 2020 to Mar 15, 2021
Corporate clients · 0 to 6
Jul 1, 2020 to Mar 15, 2021
HNW clients · 358 to 528
Jul 1, 2020 to Mar 15, 2021
Individual clients · 375 to 802
Jul 1, 2020 to Mar 15, 2021
Pension plan clients · 0 to 4
Jul 1, 2020 to Mar 15, 2021
Employees · 3 to 4
Jul 1, 2020 to Mar 15, 2021
Discretionary RAUM · $338M to $438M
Jul 1, 2020 to Mar 15, 2021
HNW RAUM · $265M to $330M
Jul 1, 2020 to Mar 15, 2021
Individual RAUM · $51.4M to $77.1M
Jul 1, 2020 to Mar 15, 2021
Non-discretionary RAUM · $113M to $118M
Jul 1, 2020 to Mar 15, 2021
Pension RAUM · $2.4M to $4.0M
Jul 1, 2020 to Mar 15, 2021
RAUM · $451M to $556M
Jul 1, 2020 to Mar 15, 2021
Accounts · 519 to 749
Mar 22, 2019 to Mar 20, 2020

Signals

2 dated events

••• Locked
Mar 12, 2024 · Control person left · inference
••• Locked
Mar 21, 2022 · RAUM change · derived

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

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 18, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $505Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026