DFX Intelligence
RIA Intelligence
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SEC-registered adviser
V••••••••• A••••• A•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Feb 1, 2008
RAUM
$242M
reported, Item 5.F
Discretionary
81%
of RAUM
Private clients
5.1%
$12.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$242M as of Mar 24, 2026
Mar 30, 2012$510M then
HNW client RAUM$12.2M as of Mar 24, 2026
Mar 30, 2018$62.2M then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 24, 2026
Mar 28, 201313 then
Private funds1 as of Mar 30, 2018
Mar 31, 20171 then
RAUM -1.9% over the last fiscal year-7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $10.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 81%derivedof RAUM
- Institutional
- 50%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
- -1.9%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, fixed feesreportedItem 5.E
- Advisory activities
- 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)
- 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
- Corporations and businesses$108M45%
- State and municipal entities$86.3M36%
- Insurance companies$24.8M10%
- High-net-worth individuals$12.2M5.1%
- Pension and profit-sharing plans$10.3M4.3%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.05 fund_share=0.0 institutional_share=0.5 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••••• U•••• S•••• P•••• F•••• L•no longer reported | Securitized Asset Fund | $0 | 1 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- H••••• F••• •••• · Chief Compliance Officercontrolsince 10/2020 · owns less than 5%
- K••••••••• M•••• G•••••• · Director Of Trade Operationscontrolsince 04/2008 · owns less than 5%
- M••••••• W••••••• J••••• · Portfolio Managercontrolsince 04/2008 · owns less than 5%
- P•••••••• J•••• H••• · Chief Administrative Officercontrolsince 04/2008 · owns less than 5%
- S••••••• S•••••• · Senior Portfolio Managercontrolsince 04/2021 · owns less than 5%
- Z••••• E•••• A••••••••• · Managing Membercontrolsince 04/2008 · 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.
What changed
consecutive filings, newest first
- Corporate clients · 7 to 6Mar 28, 2025 to Mar 24, 2026
- Discretionary RAUM · $180M to $196MMar 28, 2025 to Mar 24, 2026
- HNW RAUM · $12.9M to $12.2MMar 28, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $67.1M to $46.3MMar 28, 2025 to Mar 24, 2026
- Pension RAUM · $9.4M to $10.3MMar 28, 2025 to Mar 24, 2026
- RAUM · $247M to $242MMar 28, 2025 to Mar 24, 2026
- Accounts · 28 to 23Mar 27, 2024 to Mar 28, 2025
- HNW clients · 6 to 4Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $168M to $180MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $17.7M to $12.9MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $74.2M to $67.1MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $7.1M to $9.4MMar 27, 2024 to Mar 28, 2025
- RAUM · $242M to $247MMar 27, 2024 to Mar 28, 2025
- Accounts · 37 to 28Jun 29, 2023 to Mar 27, 2024
- Advisory employees · 7 to 6Jun 29, 2023 to Mar 27, 2024
- Corporate clients · 11 to 7Jun 29, 2023 to Mar 27, 2024
- Employees · 7 to 6Jun 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $155M to $168MJun 29, 2023 to Mar 27, 2024
- HNW RAUM · $16.6M to $17.7MJun 29, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $152M to $74.2MJun 29, 2023 to Mar 27, 2024
- Pension RAUM · $6.4M to $7.1MJun 29, 2023 to Mar 27, 2024
- RAUM · $307M to $242MJun 29, 2023 to Mar 27, 2024
- Accounts · 41 to 37Mar 31, 2022 to Mar 30, 2023
- Corporate clients · 15 to 11Mar 31, 2022 to Mar 30, 2023
- Employees · 8 to 7Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $163M to $155MMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $18.0M to $16.6MMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $236M to $152MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $7.3M to $6.4MMar 31, 2022 to Mar 30, 2023
- RAUM · $399M to $307MMar 31, 2022 to Mar 30, 2023
- Advisory employees · 6 to 7Sep 28, 2021 to Mar 30, 2022
- Employees · 7 to 8Sep 28, 2021 to Mar 30, 2022
- Discretionary RAUM · $165M to $163MSep 28, 2021 to Mar 30, 2022
- HNW RAUM · $16.6M to $18.0MSep 28, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $405M to $236MSep 28, 2021 to Mar 30, 2022
- Pension RAUM · $6.7M to $7.3MSep 28, 2021 to Mar 30, 2022
- RAUM · $570M to $399MSep 28, 2021 to Mar 30, 2022
- Accounts · 34 to 41Nov 2, 2020 to Mar 31, 2021
- Advisory employees · 7 to 6Nov 2, 2020 to Mar 31, 2021
Signals
9 dated events
- J Ernst Papillon (Portfolio Manager) no longer on Schedule A of V••••••••• A••••• A•••• M••••••••• L•• (listed 2023-06-29, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- C••• S••••• (Managing Director) no longer on Schedule A of V••••••••• A••••• A•••• M••••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- V••••••••• A••••• A•••• M••••••••• L•• reported RAUM $399.3M, down 30% from $570.4M (2021-09-28 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Philip Charles Baker (Managing Director) no longer on Schedule A of V••••••••• A••••• A•••• M••••••••• L•• (listed 2021-09-28, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- J Ernst Papillon (Portfolio Manager) appeared on Schedule A of V••••••••• A••••• A•••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- Suzanne Saurack (Senior Portfolio Manager) appeared on Schedule A of V••••••••• A••••• A•••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- C••• S••••• (Managing Director) appeared on Schedule A of V••••••••• A••••• A•••• M••••••••• L••May 7, 2021 · Control person joined · fact
- William Cort Gorham (Chief Compliance Officer) no longer on Schedule A of V••••••••• A••••• A•••• M••••••••• L•• (listed 2020-11-02, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- V••••••••• A••••• A•••• M••••••••• L•• reported RAUM $570.4M, up 126% from $252.8M (2020-11-02 to 2021-03-31)Mar 31, 2021 · 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
- Website
- w••.v••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (212) 973-2200reportedpublic record, Form ADV, Mar 24, 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
- Other 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