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•••••••• A•••• M•••••••••

Former SEC-registered adviserHouston, TexasCRD 147304SEC 801-69217IAPD
Legal name V•••••••• A•••• M••••••••• I•••
Latest filing Jul 19, 2018
First filing on the tape Nov 23, 2011 · 38 filings
RAUM
$605M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$598M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$605M as of Mar 29, 2018
Dec 7, 2011$392M then
HNW client RAUM: $95.1M
State-registered IARs (5.B.3)5 as of Mar 29, 2018
Mar 26, 20132 then
Employees (5.A)8 as of Mar 29, 2018
Mar 26, 20134 then
Private funds: no history
RAUM -1.7% over the last fiscal year-2.7% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Jul 19, 2018; every figure names its basis
RAUM per advisor
$121MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
864derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$401,064derivedHNW RAUM over HNW clients
Average account
$139,167derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.7%derivedbetween the last two annual amendments
Advisor growth, one year
-17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$581MreportedItem 5.I
Custody
$60.2M, 352 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$503M83%
  • High-net-worth individuals$95.1M16%
  • Corporations and businesses$7.1M1.2%
Individual clients
4,084reported
HNW clients
237reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,348reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$60.2M for 352 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C••••• C•••• J••• · Bodcontrol
    since 04/2008 · owns less than 5%
  • G••••• N•••••• C••• · Bodcontrol
    since 12/2017 · owns less than 5%
  • H••••• D••••• L•• · Bodcontrol
    since 04/2008 · owns less than 5%
  • M•••••• A•••••• C•••••• · President And Ccocontrol
    since 12/2010 · owns less than 5%
  • S•••••• J••••••• J••• · Chairmancontrol
    since 12/2017 · owns less than 5%
  • S••••• P•••••• F•••••• · Cfocontrol
    since 03/2015 · owns less than 5%
Entity owners
  • N••• F•••••••• H•••••••• I•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list V•••••••• A•••• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 4,740 to 4,348
    Mar 15, 2017 to Mar 29, 2018
  • BD registered reps · 6 to 5
    Mar 15, 2017 to Mar 29, 2018
  • Corporate clients · unset to 27.0
    Mar 15, 2017 to Mar 29, 2018
  • HNW clients · unset to 237.0
    Mar 15, 2017 to Mar 29, 2018
  • Individual clients · unset to 4084.0
    Mar 15, 2017 to Mar 29, 2018
  • Assets in custody · unset to 60212367.0
    Mar 15, 2017 to Mar 29, 2018
  • Custody of client assets · false to true
    Mar 15, 2017 to Mar 29, 2018
  • Employees · 9 to 8
    Mar 15, 2017 to Mar 29, 2018
  • Insurance-licensed employees · 0 to 5
    Mar 15, 2017 to Mar 29, 2018
  • State-registered IARs · 6 to 5
    Mar 15, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Mar 15, 2017 to Mar 29, 2018
  • Discretionary RAUM · $616M to $605M
    Mar 15, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 95052133.0
    Mar 15, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 502904611.0
    Mar 15, 2017 to Mar 29, 2018
  • RAUM · $616M to $605M
    Mar 15, 2017 to Mar 29, 2018
  • Wrap assets (manager) · unset to 0.0
    Mar 15, 2017 to Mar 29, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Mar 15, 2017 to Mar 29, 2018
  • Accounts · 4,500 to 4,740
    Oct 11, 2016 to Mar 15, 2017
  • BD registered reps · 3 to 6
    Oct 11, 2016 to Mar 15, 2017
  • Employees · 7 to 9
    Oct 11, 2016 to Mar 15, 2017
  • Insurance-licensed employees · 5 to 0
    Oct 11, 2016 to Mar 15, 2017
  • State-registered IARs · 5 to 6
    Oct 11, 2016 to Mar 15, 2017
  • Discretionary RAUM · $529M to $616M
    Oct 11, 2016 to Mar 15, 2017
  • RAUM · $529M to $616M
    Oct 11, 2016 to Mar 15, 2017
  • BD registered reps · 5 to 3
    Mar 30, 2016 to Aug 1, 2016
  • Employees · 10 to 7
    Mar 30, 2016 to Aug 1, 2016
  • Insurance-licensed employees · 6 to 5
    Mar 30, 2016 to Aug 1, 2016
  • State-registered IARs · 6 to 5
    Mar 30, 2016 to Aug 1, 2016
  • Accounts · 5,700 to 4,500
    May 12, 2015 to Mar 30, 2016
  • Advisory employees · 5 to 6
    May 12, 2015 to Mar 30, 2016
  • BD registered reps · 6 to 5
    May 12, 2015 to Mar 30, 2016
  • Employees · 13 to 10
    May 12, 2015 to Mar 30, 2016
  • Insurance-licensed employees · 5 to 6
    May 12, 2015 to Mar 30, 2016
  • State-registered IARs · 5 to 6
    May 12, 2015 to Mar 30, 2016
  • Discretionary RAUM · $658M to $529M
    May 12, 2015 to Mar 30, 2016
  • RAUM · $658M to $529M
    May 12, 2015 to Mar 30, 2016
  • Accounts · 5,396 to 5,700
    Jan 26, 2015 to Mar 19, 2015
  • Discretionary RAUM · $657M to $658M
    Jan 26, 2015 to Mar 19, 2015
  • RAUM · $657M to $658M
    Jan 26, 2015 to Mar 19, 2015
  • Accounts · 5,990 to 5,396
    Sep 3, 2014 to Jan 26, 2015
Signals
1 dated events
  • V•••••••• A•••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jul 1, 2013 · Succession (Item 4) · fact
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