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••••••• S•••• W••••• A••••••• A•

Former SEC-registered adviserZurich, CRD 154750SEC 801-71790IAPD
Latest filing Jan 4, 2023
First filing on the tape Mar 29, 2012 · 44 filings
RAUM
$3.8B
reported, Item 5.F
Discretionary
38%
of RAUM
Private clients
100%
$3.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
41
37 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$3.8B as of Mar 25, 2022
Mar 29, 2012$773M then
HNW client RAUM$3.7B as of Mar 25, 2022
Mar 28, 2018$2.1B then
State-registered IARs (5.B.3)0 as of Mar 25, 2022
Mar 28, 20134 then
Employees (5.A)41 as of Mar 25, 2022
Mar 28, 201317 then
Private funds: no history
RAUM +15% over the last fiscal year+21% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Jan 4, 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
$4.2MderivedHNW RAUM over HNW clients
Average account
$2.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
38%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+8.5%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
Wrap fee program
$3.8BreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.7B98%
  • Individuals$57.7M1.5%
  • Charitable organizations$6.1M0.2%
  • Corporations and businesses$163,4270.0%
Individual clients
128reported
HNW clients
882reported
Pension plan clients
0reported
Charitable clients
5reported
Accounts
1,397reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••••• F••••••••• L•••• · Chief Compliance Officercontrol
    since 06/2021 · owns less than 5%
  • G•••••••• C•••••••• · Directorcontrol
    since 03/2017 · owns less than 5%
  • H•••••• P••••••• E• · Member Of Vswa Management Teamcontrol
    since 06/2021 · owns less than 5%
  • K•••••••• A•••••• · Advisor To Vswa Management Teamcontrol
    since 01/2014 · owns less than 5%
  • K••••••• P•••••• D•••••••• · Chief Investment Officer / Advisor To Vswa Management Teamcontrol
    since 09/2022 · owns less than 5%
  • P••••• N•••••• · Vice Chairwoman/Directorcontrol
    since 09/2010 · owns less than 5%
  • R••••••••• P•••• · Chief Executive Officer / Head Of Vswa Management Teamcontrol
    since 12/2022 · owns less than 5%
  • S••••••• R•••• · Deputy Chief Executive Officer / Chief Operating Officer / Member Of Vswa Management Teamcontrol
    since 03/2018 · owns less than 5%
  • S••••••••• G•••• · Chairman/Directorcontrol
    since 08/2019 · owns less than 5%
Entity owners
  • V••••••• H•••••• A• · Sole Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Advisers that list V••••••• S•••• W••••• A••••••• A• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Miami, FL3 employees
  • New York, NY2 employees
What changed
consecutive filings, newest first
  • Accounts · 1,228 to 1,397
    Dec 21, 2021 to Mar 25, 2022
  • Advisory employees · 27 to 37
    Dec 21, 2021 to Mar 25, 2022
  • Charity clients · unset to 5.0
    Dec 21, 2021 to Mar 25, 2022
  • Corporate clients · unset to 5.0
    Dec 21, 2021 to Mar 25, 2022
  • HNW clients · 795 to 882
    Dec 21, 2021 to Mar 25, 2022
  • Individual clients · 136 to 128
    Dec 21, 2021 to Mar 25, 2022
  • Employees · 37 to 41
    Dec 21, 2021 to Mar 25, 2022
  • Discretionary RAUM · $1.1B to $1.4B
    Dec 21, 2021 to Mar 25, 2022
  • HNW RAUM · $3.2B to $3.7B
    Dec 21, 2021 to Mar 25, 2022
  • Individual RAUM · $83.0M to $57.7M
    Dec 21, 2021 to Mar 25, 2022
  • Non-discretionary RAUM · $2.2B to $2.3B
    Dec 21, 2021 to Mar 25, 2022
  • RAUM · $3.3B to $3.8B
    Dec 21, 2021 to Mar 25, 2022
  • Other offices · 2 to 3
    Jun 15, 2021 to Dec 21, 2021
  • Accounts · 1,119 to 1,228
    Nov 19, 2020 to Mar 31, 2021
  • Advisory employees · 26 to 27
    Nov 19, 2020 to Mar 31, 2021
  • HNW clients · 607 to 795
    Nov 19, 2020 to Mar 31, 2021
  • Individual clients · 133 to 136
    Nov 19, 2020 to Mar 31, 2021
  • Employees · 36 to 37
    Nov 19, 2020 to Mar 31, 2021
  • Discretionary RAUM · $945M to $1.1B
    Nov 19, 2020 to Mar 31, 2021
  • HNW RAUM · $2.6B to $3.2B
    Nov 19, 2020 to Mar 31, 2021
  • Individual RAUM · $69.8M to $83.0M
    Nov 19, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $1.8B to $2.2B
    Nov 19, 2020 to Mar 31, 2021
  • RAUM · $2.7B to $3.3B
    Nov 19, 2020 to Mar 31, 2021
  • Wrap assets (sponsor) · $1.8B to $0
    Nov 19, 2020 to Mar 31, 2021
  • Accounts · 1,011 to 1,119
    Jan 28, 2020 to Mar 31, 2020
  • Advisory employees · 22 to 26
    Jan 28, 2020 to Mar 31, 2020
  • Individual clients · 113 to 133
    Jan 28, 2020 to Mar 31, 2020
  • Employees · 34 to 36
    Jan 28, 2020 to Mar 31, 2020
  • Discretionary RAUM · $722M to $945M
    Jan 28, 2020 to Mar 31, 2020
  • HNW RAUM · $2.1B to $2.6B
    Jan 28, 2020 to Mar 31, 2020
  • Individual RAUM · $55.0M to $69.8M
    Jan 28, 2020 to Mar 31, 2020
  • Non-discretionary RAUM · $1.4B to $1.8B
    Jan 28, 2020 to Mar 31, 2020
  • RAUM · $2.1B to $2.7B
    Jan 28, 2020 to Mar 31, 2020
  • Wrap assets (sponsor) · $1.4B to $1.8B
    Jan 28, 2020 to Mar 31, 2020
  • Accounts · 979 to 1,011
    Jan 21, 2019 to Mar 13, 2019
  • Advisory employees · 17 to 22
    Jan 21, 2019 to Mar 13, 2019
  • BD registered reps · 1 to 0
    Jan 21, 2019 to Mar 13, 2019
  • Charity clients · 0.0 to unset
    Jan 21, 2019 to Mar 13, 2019
  • Corporate clients · 5.0 to unset
    Jan 21, 2019 to Mar 13, 2019
  • Employees · 31 to 34
    Jan 21, 2019 to Mar 13, 2019
Signals
13 dated events
  • C•••••• J••••••••• H••• (Chief Executive Officer / Head Of Vswa Management Team) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2022-09-05, absent 2023-01-04)
    Jan 4, 2023 · Control person left · inference
  • P•••• R•••••••• (Chief Executive Officer / Head Of Vswa Management Team) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Jan 4, 2023 · Control person joined · fact
  • D•••••••• P••••• K•••••• (Chief Investment Officer / Advisor To Vswa Management Team) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Sep 5, 2022 · Control person joined · fact
  • T••••••• K••••• (Chief Investment Officer / Advisor To Vswa Management Team) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2022-03-25, absent 2022-09-05)
    Sep 5, 2022 · Control person left · inference
  • D•••••• W•••••• (Chief Risk Officer / Member Of Vswa Management Team) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2021-12-21, absent 2022-03-25)
    Mar 25, 2022 · Control person left · inference
  • G••• R•••••• B•••••• (Chief Compliance Officer) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2021-04-27, absent 2021-06-15)
    Jun 15, 2021 · Control person left · inference
  • L•••• F•••••••• B•••••• (Chief Compliance Officer) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Jun 15, 2021 · Control person joined · fact
  • C•••••• J••••••••• H••• (Chief Executive Officer / Head Of Vswa Management Team) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Jun 15, 2021 · Control person joined · fact
  • A•••• B••••• (Member Of Vswa Management Team) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2021-03-31, absent 2021-04-27)
    Apr 27, 2021 · Control person left · inference
  • K•••• A•••••••• B•••• (Chairwoman/Director) no longer on Schedule A of V••••••• S•••• W••••• A••••••• A• (listed 2020-11-19, absent 2021-03-31)
    Mar 31, 2021 · Control person left · inference
  • V••••••• S•••• W••••• A••••••• A• reported RAUM $2.7B, up 26% from $2.1B (2020-01-28 to 2020-03-31)
    Mar 31, 2020 · RAUM change · derived
  • K•••• A•••••••• B•••• (Chairwoman/Director) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Sep 13, 2019 · Control person joined · fact
  • A•••• B••••• (Member Of Vswa Management Team) appeared on Schedule A of V••••••• S•••• W••••• A••••••• A•
    Apr 26, 2019 · Control person joined · 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