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•••••• S•••••••••

Former SEC-registered adviserRoanoke, VirginiaCRD 150308SEC 801-70187IAPD
Legal name V••••••• C•••••• S••••••••• I••
Latest filing Mar 1, 2019
First filing on the tape Feb 22, 2012 · 12 filings
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$159M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$177M as of Mar 1, 2019
Feb 22, 2012$87.6M then
HNW client RAUM$99.7M as of Mar 1, 2019
Feb 28, 2018$91.4M then
State-registered IARs (5.B.3)0 as of Mar 1, 2019
Feb 22, 20120 then
Employees (5.A)4 as of Mar 1, 2019
Mar 8, 20133 then
Private funds: no history
RAUM +9.2% over the last fiscal year+7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 1, 2019; 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
$2.4MderivedHNW RAUM over HNW clients
Average account
$492,666derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.8%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
+9.2%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+22%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$2.2M, 3 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$99.7M56%
  • Individuals$59.6M34%
  • Corporations and businesses$14.5M8.2%
  • Charitable organizations$2.7M1.5%
  • Pension and profit-sharing plans$392,9440.2%
Individual clients
74reported
HNW clients
41reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
359reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$2.2M for 3 clientsreported
Compensation
% of AUM, 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• S••••••• J•••• · President, Chief Compliance Officercontrol
    since 12/2008 · 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
  • Accounts · 340 to 359
    Feb 28, 2018 to Mar 1, 2019
  • Advisory employees · 3 to 4
    Feb 28, 2018 to Mar 1, 2019
  • Charity clients · 7.0 to unset
    Feb 28, 2018 to Mar 1, 2019
  • Corporate clients · 5 to 12
    Feb 28, 2018 to Mar 1, 2019
  • HNW clients · 32 to 41
    Feb 28, 2018 to Mar 1, 2019
  • Individual clients · 62 to 74
    Feb 28, 2018 to Mar 1, 2019
  • Assets in custody · $39.1M to $2.2M
    Feb 28, 2018 to Mar 1, 2019
  • Employees · 3 to 4
    Feb 28, 2018 to Mar 1, 2019
  • Financial planning clients · 1-10 to 101-250
    Feb 28, 2018 to Mar 1, 2019
  • Discretionary RAUM · $162M to $177M
    Feb 28, 2018 to Mar 1, 2019
  • HNW RAUM · $91.4M to $99.7M
    Feb 28, 2018 to Mar 1, 2019
  • Individual RAUM · $52.9M to $59.6M
    Feb 28, 2018 to Mar 1, 2019
  • Pension RAUM · $364,623 to $392,944
    Feb 28, 2018 to Mar 1, 2019
  • RAUM · $162M to $177M
    Feb 28, 2018 to Mar 1, 2019
  • Accounts · 280 to 340
    Feb 24, 2017 to Feb 28, 2018
  • Advisory activities · 3 to 5
    Feb 24, 2017 to Feb 28, 2018
  • Charity clients · unset to 7.0
    Feb 24, 2017 to Feb 28, 2018
  • Corporate clients · unset to 5.0
    Feb 24, 2017 to Feb 28, 2018
  • HNW clients · unset to 32.0
    Feb 24, 2017 to Feb 28, 2018
  • Individual clients · unset to 62.0
    Feb 24, 2017 to Feb 28, 2018
  • Assets in custody · unset to 39139351.0
    Feb 24, 2017 to Feb 28, 2018
  • Custody of client assets · false to true
    Feb 24, 2017 to Feb 28, 2018
  • Financial planning clients · 101-250 to 1-10
    Feb 24, 2017 to Feb 28, 2018
  • Other offices · unset to 0.0
    Feb 24, 2017 to Feb 28, 2018
  • Discretionary RAUM · $141M to $162M
    Feb 24, 2017 to Feb 28, 2018
  • HNW RAUM · unset to 91405067.0
    Feb 24, 2017 to Feb 28, 2018
  • Individual RAUM · unset to 52856242.0
    Feb 24, 2017 to Feb 28, 2018
  • Pension RAUM · unset to 364623.0
    Feb 24, 2017 to Feb 28, 2018
  • RAUM · $141M to $162M
    Feb 24, 2017 to Feb 28, 2018
  • Accounts · 273 to 280
    Feb 29, 2016 to Feb 24, 2017
  • Discretionary RAUM · $144M to $141M
    Feb 29, 2016 to Feb 24, 2017
  • RAUM · $144M to $141M
    Feb 29, 2016 to Feb 24, 2017
  • Accounts · 265 to 273
    Feb 23, 2015 to Feb 29, 2016
  • Discretionary RAUM · $139M to $144M
    Feb 23, 2015 to Feb 29, 2016
  • RAUM · $139M to $144M
    Feb 23, 2015 to Feb 29, 2016
  • Accounts · 257 to 265
    Sep 22, 2014 to Feb 23, 2015
  • Discretionary RAUM · $141M to $139M
    Sep 22, 2014 to Feb 23, 2015
  • RAUM · $141M to $139M
    Sep 22, 2014 to Feb 23, 2015
  • Discretionary RAUM · $106M to $141M
    Mar 13, 2014 to Jul 18, 2014
  • RAUM · $106M to $141M
    Mar 13, 2014 to Jul 18, 2014
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