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••••••• S•••••••

Former SEC-registered adviserOverland Park, KansasCRD 14503SEC 801-61672IAPD
Legal name V•• F•••••••• S•••••••• I•••
Latest filing Sep 12, 2016
First filing on the tape Dec 19, 2011 · 23 filings
RAUM
$3.1B
reported, Item 5.F
Discretionary
74%
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
349
284 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$3.1B as of Mar 30, 2016
Sep 27, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)310 as of Mar 30, 2016
Sep 27, 20120 then
Employees (5.A)349 as of Mar 30, 2016
Aug 20, 2013378 then
Private funds: no history
RAUM +0.7% over the last fiscal year+4.5% a year over threeIARs 272 to 310
Practice profile
derived from the filing of Sep 12, 2016; every figure names its basis
RAUM per advisor
$10.0MderivedRAUM 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
$183,033derivedRAUM over accounts (5.F.2.f)
Discretionary
74%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
51.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Financial planning clients
500reportedItem 5.H
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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16,944reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• A••• N••••••• · Directorcontrol
      since 07/2016 · owns less than 5%
    • B••••••• S••••••• A•••• · Chief Financial Officercontrol
      since 01/2016 · owns less than 5%
    • E••••••••• J•••••• N••• · Vice President And Trade Desk Directorcontrol
      since 07/2016 · owns less than 5%
    • H•••••••• B•••• L•••• · Directorcontrol
      since 07/2016 · owns less than 5%
    • O••••• G•••••• A••• · Secretarycontrol
      since 07/2016 · owns less than 5%
    • S••••••• C•••••• W••••• · Senior Vice President And Chief Technology Officercontrol
      since 07/2016 · owns less than 5%
    • S•••••• S•••••• R••••• · Vice Presidentcontrol
      since 07/2016 · owns less than 5%
    • S••••••••• J•••• M•••••• · Chief Executive Officercontrol
      since 10/2010 · owns less than 5%
    • S••••••••• J•• M•••••• · President, Bd Cco And Ria Ccocontrol
      since 08/2016 · owns less than 5%
    • V•••••••• S•••• D••••• · Vice President, Compliance
      since 07/2016 · owns less than 5%
    Entity owners
    • V•• G••••• L•• · Parent Corporation
      direct · owns 75% or more
    • A••••• G••••• I••• · Sole Member
      indirect · owns 75% or more of R•• C•••••• H•••••••• L••
    • R•• C•••••• H•••••••• L•• · Sole Shareholder
      indirect · owns 75% or more of V•• G••••• L••
    Related persons
    Schedule D 7.A
    Advisers that list V•• A••••••• S••••••• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Des Moines, IA
    • Greenwood Village, CO
    • Honolulu, HI
    • J•••Ston, IA
    • Madison, WI
    What changed
    consecutive filings, newest first
    • Accounts · 15,252 to 16,944
      Feb 19, 2016 to Mar 30, 2016
    • Advisory employees · 277 to 284
      Feb 19, 2016 to Mar 30, 2016
    • BD registered reps · 328 to 310
      Feb 19, 2016 to Mar 30, 2016
    • Employees · 357 to 349
      Feb 19, 2016 to Mar 30, 2016
    • State-registered IARs · 274 to 310
      Feb 19, 2016 to Mar 30, 2016
    • Discretionary RAUM · $2.3B to $2.3B
      Feb 19, 2016 to Mar 30, 2016
    • Non-discretionary RAUM · $771M to $805M
      Feb 19, 2016 to Mar 30, 2016
    • RAUM · $3.0B to $3.1B
      Feb 19, 2016 to Mar 30, 2016
    • Accounts · 16,012 to 15,252
      Mar 20, 2015 to Sep 30, 2015
    • Advisory employees · 278 to 277
      Mar 20, 2015 to Sep 30, 2015
    • BD registered reps · 316 to 328
      Mar 20, 2015 to Sep 30, 2015
    • Employees · 347 to 357
      Mar 20, 2015 to Sep 30, 2015
    • Insurance-licensed employees · 13 to 12
      Mar 20, 2015 to Sep 30, 2015
    • State-registered IARs · 272 to 274
      Mar 20, 2015 to Sep 30, 2015
    • Discretionary RAUM · $2.1B to $2.3B
      Mar 20, 2015 to Sep 30, 2015
    • Non-discretionary RAUM · $955M to $771M
      Mar 20, 2015 to Sep 30, 2015
    • RAUM · $3.1B to $3.0B
      Mar 20, 2015 to Sep 30, 2015
    • Related broker-dealer · false to true
      Dec 19, 2014 to Mar 20, 2015
    • Accounts · 15,275 to 16,012
      Jan 3, 2014 to Sep 30, 2014
    • Advisory employees · 299 to 278
      Jan 3, 2014 to Sep 30, 2014
    • BD registered reps · 340 to 316
      Jan 3, 2014 to Sep 30, 2014
    • Assets in custody · 0.0 to unset
      Jan 3, 2014 to Sep 30, 2014
    • Employees · 378 to 347
      Jan 3, 2014 to Sep 30, 2014
    • State-registered IARs · 277 to 272
      Jan 3, 2014 to Sep 30, 2014
    • Discretionary RAUM · $1.7B to $2.1B
      Jan 3, 2014 to Sep 30, 2014
    • Non-discretionary RAUM · $933M to $955M
      Jan 3, 2014 to Sep 30, 2014
    • RAUM · $2.6B to $3.1B
      Jan 3, 2014 to Sep 30, 2014
    • Accounts · 17,547 to 15,275
      Aug 20, 2013 to Jan 3, 2014
    • Discretionary RAUM · $1.7B to $1.7B
      Aug 20, 2013 to Jan 3, 2014
    • Non-discretionary RAUM · $1.0B to $933M
      Aug 20, 2013 to Jan 3, 2014
    • RAUM · $2.7B to $2.6B
      Aug 20, 2013 to Jan 3, 2014
    • Accounts · 17,451 to 17,547
      Jun 12, 2013 to Aug 20, 2013
    • Advisory employees · 295 to 299
      Jun 12, 2013 to Aug 20, 2013
    • Advisory activities · 7 to 8
      Jun 12, 2013 to Aug 20, 2013
    • BD registered reps · 334 to 340
      Jun 12, 2013 to Aug 20, 2013
    • Employees · 361 to 378
      Jun 12, 2013 to Aug 20, 2013
    • Insurance-licensed employees · 15 to 13
      Jun 12, 2013 to Aug 20, 2013
    • Financial planning clients · 251-500 to More than 500
      Jun 12, 2013 to Aug 20, 2013
    • State-registered IARs · 276 to 277
      Jun 12, 2013 to Aug 20, 2013
    • Discretionary RAUM · $1.6B to $1.7B
      Jun 12, 2013 to Aug 20, 2013
    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