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•• P•••• C•••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 153825SEC 801-71553IAPD
Latest filing Jun 22, 2021
First filing on the tape Mar 30, 2012 · 29 filings
RAUM
$27.6M
reported, Item 5.F
Discretionary
100%
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$27.6M as of Mar 31, 2021
Mar 30, 2012$26.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Apr 3, 20131 then
Employees (5.A)1 as of Mar 31, 2021
Apr 3, 20135 then
Private funds2 as of Mar 31, 2021
Mar 30, 20127 then
RAUM -43% over the last fiscal year-17% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jun 22, 2021; every figure names its basis
RAUM per advisor
$27.6MderivedRAUM 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
$9.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-43%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
yesreportedItem 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
  • Pooled investment vehicles$1100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 2 clientsreported
Compensation
% of AUM, performancereported
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
11 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
V•• P•••• V•••••• C•••••• I• L••no longer reportedVenture Capital Fund$4.9M99Mar 30, 2012
V•• P•••• • K•• C••••••••• B• F••• I• L••no longer reportedOther Private Fund$2.0M87Mar 30, 2012
V•• P•••• • K•• C••••••••• B• F••• I• L••no longer reportedOther Private Fund$1.1M98Mar 30, 2012
V•• P•••• V•••••• C•••••• I• L••no longer reportedVenture Capital Fund$353,61143Mar 30, 2012
V•• P•••• V•••••• C•••••• V•• L••no longer reportedVenture Capital Fund$193,0285Dec 11, 2013
V•• P•••• V•••••• C•••••• I•• L••no longer reportedVenture Capital Fund$155,0974Mar 30, 2012
V•• P•••••••• C••••••••• R• F••• I• L••no longer reportedOther Private Fund$25,87913Mar 30, 2012
V•• P•••• V•••••• C•••••• I•• L••no longer reportedVenture Capital Fund$3610Mar 30, 2012
V•• P•••• D••••• L•••••• F•••Other Private Fund$01Mar 29, 2018
V•• P•••• V•••••• C•••••• V• L••Venture Capital Fund$08Apr 3, 2013
V•• P•••• B•• I•••••••• L••no longer reportedOther Private Fund$013Mar 29, 2018
Owners and control persons
Schedule A and B, latest filing
  • C••••••••• G•••••••• S•••• · Managing Member/Co-Chief Investment Officer/Ccocontrol
    since 04/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list V•• P•••• C•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 2 to 1
    Dec 14, 2020 to Mar 31, 2021
  • Assets in custody · $1.1M to $0
    Dec 14, 2020 to Mar 31, 2021
  • Employees · 4 to 1
    Dec 14, 2020 to Mar 31, 2021
  • Insurance-licensed employees · 1 to 0
    Dec 14, 2020 to Mar 31, 2021
  • State-registered IARs · 2 to 1
    Dec 14, 2020 to Mar 31, 2021
  • Discretionary RAUM · $48.8M to $27.6M
    Dec 14, 2020 to Mar 31, 2021
  • Pooled vehicle RAUM · $1.1M to $1
    Dec 14, 2020 to Mar 31, 2021
  • RAUM · $48.8M to $27.6M
    Dec 14, 2020 to Mar 31, 2021
  • HQ city · unset to SANTA MONICA
    May 15, 2020 to Dec 14, 2020
  • HQ state · unset to CA
    May 15, 2020 to Dec 14, 2020
  • Accounts · 8 to 3
    Aug 5, 2019 to May 15, 2020
  • Pooled vehicle clients · 7 to 2
    Aug 5, 2019 to May 15, 2020
  • Assets in custody · $4.6M to $1.1M
    Aug 5, 2019 to May 15, 2020
  • Private funds · 8 to 2
    Aug 5, 2019 to May 15, 2020
  • Discretionary RAUM · $48.8M to $48.8M
    Aug 5, 2019 to May 15, 2020
  • Pooled vehicle RAUM · $4.6M to $1.1M
    Aug 5, 2019 to May 15, 2020
  • RAUM · $48.8M to $48.8M
    Aug 5, 2019 to May 15, 2020
  • HQ city · ORINDA to unset
    Apr 18, 2019 to Aug 5, 2019
  • HQ state · CA to unset
    Apr 18, 2019 to Aug 5, 2019
  • Advisory employees · 6 to 2
    Aug 3, 2018 to Apr 18, 2019
  • Employees · 8 to 4
    Aug 3, 2018 to Apr 18, 2019
  • Insurance-licensed employees · 0 to 1
    Aug 3, 2018 to Apr 18, 2019
  • State-registered IARs · 3 to 2
    Aug 3, 2018 to Apr 18, 2019
  • Advisory activities · 3 to 2
    Sep 14, 2017 to Mar 29, 2018
  • BD registered reps · 2 to 0
    Sep 14, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 7.0
    Sep 14, 2017 to Mar 29, 2018
  • Assets in custody · $10.6M to $4.6M
    Sep 14, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Sep 14, 2017 to Mar 29, 2018
  • Private funds · 6 to 8
    Sep 14, 2017 to Mar 29, 2018
  • Discretionary RAUM · $59.5M to $48.8M
    Sep 14, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 4645393.0
    Sep 14, 2017 to Mar 29, 2018
  • RAUM · $59.5M to $48.8M
    Sep 14, 2017 to Mar 29, 2018
  • Related adviser · true to false
    Sep 14, 2017 to Mar 29, 2018
  • Employees · 6 to 8
    May 4, 2016 to Mar 30, 2017
  • Accounts · 9 to 8
    May 4, 2016 to Mar 30, 2017
  • Advisory employees · 4 to 6
    May 4, 2016 to Mar 30, 2017
  • BD registered reps · 3 to 2
    May 4, 2016 to Mar 30, 2017
  • Custody of client assets · false to true
    May 4, 2016 to Mar 30, 2017
  • Discretionary RAUM · $50.4M to $59.5M
    May 4, 2016 to Mar 30, 2017
  • RAUM · $50.4M to $59.5M
    May 4, 2016 to Mar 30, 2017
Signals
6 dated events
  • Elaine Michelle Macdonald (Chief Compliance Officer) no longer on Schedule A of V•• P•••• C•••••• L•• (listed 2021-03-31, absent 2021-06-22)
    Jun 22, 2021 · Control person left · inference
  • Rafael Milton Balbuena (Co-Chief Investment Officer) no longer on Schedule A of V•• P•••• C•••••• L•• (listed 2020-12-14, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • Fitzgerald Stephen Shea (Member) no longer on Schedule A of V•• P•••• C•••••• L•• (listed 2019-08-05, absent 2020-05-15)
    May 15, 2020 · Control person left · inference
  • A Rudolph Galera (Chief Operating Officer) no longer on Schedule A of V•• P•••• C•••••• L•• (listed 2018-08-03, absent 2019-04-18)
    Apr 18, 2019 · Control person left · inference
  • Nelson Douglas Tyre (Chief Compliance Officer) no longer on Schedule A of V•• P•••• C•••••• L•• (listed 2018-08-03, absent 2019-04-18)
    Apr 18, 2019 · Control person left · inference
  • Elaine Michelle Macdonald (Chief Compliance Officer) appeared on Schedule A of V•• P•••• C•••••• L••
    Apr 18, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
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