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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Former SEC-registered adviser

V••••••• C•••••• M••••••••• L•••••

Former SEC-registered adviserLa Salle, IllinoisCRD 146758SEC 801-69183IAPD
Latest filing Mar 22, 2023
First filing on the tape Mar 19, 2012 · 18 filings
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
32%
$84.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$263M as of Mar 22, 2023
Mar 19, 2012$156M then
HNW client RAUM$59.8M as of Mar 22, 2023
Mar 7, 2018$31.0M then
State-registered IARs (5.B.3)0 as of Mar 22, 2023
Mar 19, 20120 then
Employees (5.A)3 as of Mar 22, 2023
Mar 21, 20132 then
Private funds: no history
RAUM -0.4% over the last fiscal year+3.6% a year over threeIARs 1 to 0
Practice profile
derived from the filing of Mar 22, 2023; 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
$2.1MderivedHNW RAUM over HNW clients
Average account
$869,316derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
64%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
-0.4%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.2%derived
Compensation
percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$162M61%
  • High-net-worth individuals$59.8M23%
  • Individuals$24.9M9.5%
  • Corporations and businesses$9.3M3.5%
  • Charitable organizations$4.0M1.5%
  • Pension and profit-sharing plans$3.7M1.4%
Individual clients
145reported
HNW clients
28reported
Pension plan clients
2reported
Charitable clients
3reported
Accounts
303reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
      • V•••••••• M••••••• V•••••• · Chief Compliance Officer, Membercontrol
        since 03/2008 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Advisers that list V••••••• C•••••• 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 · 309 to 303
        Mar 15, 2022 to Mar 22, 2023
      • HNW clients · 31 to 28
        Mar 15, 2022 to Mar 22, 2023
      • Individual clients · 140 to 145
        Mar 15, 2022 to Mar 22, 2023
      • Pension plan clients · 4 to 2
        Mar 15, 2022 to Mar 22, 2023
      • Insurance-licensed employees · 0 to 1
        Mar 15, 2022 to Mar 22, 2023
      • State-registered IARs · 1 to 0
        Mar 15, 2022 to Mar 22, 2023
      • Discretionary RAUM · $264M to $263M
        Mar 15, 2022 to Mar 22, 2023
      • HNW RAUM · $72.6M to $59.8M
        Mar 15, 2022 to Mar 22, 2023
      • Individual RAUM · $27.8M to $24.9M
        Mar 15, 2022 to Mar 22, 2023
      • Pension RAUM · $22.8M to $3.7M
        Mar 15, 2022 to Mar 22, 2023
      • RAUM · $264M to $263M
        Mar 15, 2022 to Mar 22, 2023
      • Related adviser · false to true
        Mar 15, 2022 to Mar 22, 2023
      • Accounts · 292 to 309
        Mar 11, 2021 to Mar 9, 2022
      • HNW clients · 25 to 31
        Mar 11, 2021 to Mar 9, 2022
      • Pension plan clients · 5 to 4
        Mar 11, 2021 to Mar 9, 2022
      • Employees · 2 to 3
        Mar 11, 2021 to Mar 9, 2022
      • Discretionary RAUM · $238M to $264M
        Mar 11, 2021 to Mar 9, 2022
      • HNW RAUM · $55.7M to $72.6M
        Mar 11, 2021 to Mar 9, 2022
      • Individual RAUM · $29.1M to $27.8M
        Mar 11, 2021 to Mar 9, 2022
      • Pension RAUM · $23.8M to $22.8M
        Mar 11, 2021 to Mar 9, 2022
      • RAUM · $238M to $264M
        Mar 11, 2021 to Mar 9, 2022
      • Accounts · 303 to 292
        Nov 4, 2020 to Mar 11, 2021
      • Corporate clients · 7 to 6
        Nov 4, 2020 to Mar 11, 2021
      • HNW clients · 22 to 25
        Nov 4, 2020 to Mar 11, 2021
      • Individual clients · 165 to 140
        Nov 4, 2020 to Mar 11, 2021
      • Pension plan clients · 4 to 5
        Nov 4, 2020 to Mar 11, 2021
      • Financial planning clients · 0 to unset
        Nov 4, 2020 to Mar 11, 2021
      • Discretionary RAUM · $237M to $238M
        Nov 4, 2020 to Mar 11, 2021
      • HNW RAUM · $47.7M to $55.7M
        Nov 4, 2020 to Mar 11, 2021
      • Individual RAUM · $30.0M to $29.1M
        Nov 4, 2020 to Mar 11, 2021
      • Pension RAUM · $21.5M to $23.8M
        Nov 4, 2020 to Mar 11, 2021
      • RAUM · $237M to $238M
        Nov 4, 2020 to Mar 11, 2021
      • Accounts · 286 to 303
        Mar 14, 2019 to Feb 5, 2020
      • Charity clients · 2 to 3
        Mar 14, 2019 to Feb 5, 2020
      • HNW clients · 16 to 22
        Mar 14, 2019 to Feb 5, 2020
      • Individual clients · 148 to 165
        Mar 14, 2019 to Feb 5, 2020
      • Discretionary RAUM · $207M to $237M
        Mar 14, 2019 to Feb 5, 2020
      • HNW RAUM · $33.5M to $47.7M
        Mar 14, 2019 to Feb 5, 2020
      • Individual RAUM · $28.3M to $30.0M
        Mar 14, 2019 to Feb 5, 2020
      • Pension RAUM · $19.0M to $21.5M
        Mar 14, 2019 to Feb 5, 2020
      Signals
      1 dated events
      • Ann Tiffany Kenney (Member) no longer on Schedule A of V••••••• C•••••• M••••••••• L••••• (listed 2022-03-15, absent 2023-03-22)
        Mar 22, 2023 · Control person left · inference
      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