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••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 155763SEC 801-72280IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$167M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
$296M gross assets
History
28 filings and snapshots on the tape
RAUM$167M as of Mar 30, 2018
Mar 30, 2012$5.5B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20120 then
Employees (5.A)4 as of Mar 30, 2018
Mar 28, 2013100 then
Private funds13 as of Mar 30, 2018
Mar 30, 201213 then
RAUM -50% over the last fiscal year-78% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2018; 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
unknownderivedHNW RAUM over HNW clients
Average account
$13.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-50%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$167M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
12reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      20 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• H••••••••• P••••••• •••••• F••••••• L•no longer reportedPrivate Equity Fund$150M2Mar 30, 2016
      V••••• H••••••••• P•••••••• L•no longer reportedPrivate Equity Fund$125M4Mar 30, 2016
      V••••• B••••••• M••••• F•••• L•••Hedge Fund$125M0Mar 30, 2012
      V••••• B••••••• O••••••• F•••• L•••Hedge Fund$101M0Mar 30, 2012
      V••••• B••••••• F•••• L•Hedge Fund$23.1M0Mar 30, 2012
      V••••• C••••••• M••••• F•••• L•••Hedge Fund$15.0M0Apr 4, 2012
      V••••• G••••• O••••••• F•••• L•••Hedge Fund$11.6M0Mar 30, 2012
      V••••• C••••• M••••• F•••• L•••Hedge Fund$9.0M0Mar 30, 2012
      V••••• G••••• M••••• F•••• L•••Hedge Fund$8.6M0Mar 30, 2012
      V••••• C••••• O••••••••• O••••••• F•••• L•••Hedge Fund$5.5M0Mar 30, 2012
      V••••• G••••• F•••• L•Hedge Fund$3.8M0Mar 30, 2012
      V••••• C••••• O••••••••• F•••• L•Hedge Fund$2.1M0Mar 30, 2012
      V••••• C••••••• E•••• D••••• M••••• F•••• L•••Hedge Fund$2.0M0Apr 4, 2012
      V••••• I••••••••• P••••••• M••••• F•••• L•••Hedge Fund$1.5M0Mar 30, 2012
      V••••• I••••••••• P••••••• F•••• L•••Hedge Fund$816,1630Mar 30, 2012
      C••••••• S••••• I••••• F•••• L••Other Private Fund$532,3734Mar 31, 2017
      V••••• Q••••••••• M••••• F•••• L•••no longer reportedHedge Fund$432,0012Nov 20, 2014
      V• S•••••• H•••••••• L••Other Private Fund$251,93116Mar 31, 2017
      V••••• I••••••••• P•••••••• L•Hedge Fund$99,6810Mar 30, 2012
      V••••• E••••• A•••• F•••• L•Hedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• J••••• J•• · Limited Partner Of V••••• A•••• M••••••••• L• & V••••• Fund Management, LP; Chief Investment Officercontrol
        since 08/2005 · owns 75% or more
      • G•••••••• M•••• A•••• · Limited Partner Of V••••• A•••• M••••••••• L• & V••••• Fund Management, LP; Chief Administrative Officer; Ccocontrol
        since 08/2005 · owns less than 5%
      • K••••• D••••• L•• · General Counselcontrol
        since 06/2011 · owns less than 5%
      • K•• S•••••• S••• · Chief Operating Officercontrol
        since 10/2014 · owns less than 5%
      • Y••••• M•••• J• · Chief Financial Officercontrol
        since 10/2014 · owns less than 5%
      • G•••••••• J••••• J•• · Membercontrol
        since 06/2007 · owns 75% or more of J• A••••• L•• & J• A•••• I•• L••
      Entity owners
      • J• A•••• I•• L•• · General Partner Of V••••• Fund Management, LP
        direct · owns less than 5%
      • J• A••••• L•• · General Partner Of V••••• A•••• M••••••••• L•
        direct · owns less than 5%
      • V••••• A•••• M••••••••• L• · General Partner
        indirect · owns 75% or more of V••••• Uk Limited
      Related persons
      Schedule D 7.A
      • V••••• A•••• A•••••••• L••
        pooled vehicle sponsory
      • V••••• C•••••• M••••••••• L••
        pooled vehicle sponsory
      • V••••• C••••• A•••••••• L••
        pooled vehicle sponsory
      • V••••• G••••• A•••••••• L••
        pooled vehicle sponsory
      • V••••• I••••••••• A•••••••• L••
        pooled vehicle sponsory
      Advisers that list V••••• A•••• 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 · 15 to 12
        May 1, 2017 to Mar 30, 2018
      • Advisory employees · 1 to 2
        May 1, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Corporate clients · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Individual clients · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 12.0
        May 1, 2017 to Mar 30, 2018
      • Employees · 7 to 4
        May 1, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Private funds · 17 to 13
        May 1, 2017 to Mar 30, 2018
      • Discretionary RAUM · $334M to $167M
        May 1, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Individual RAUM · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Pension RAUM · unset to 0.0
        May 1, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 167191667.0
        May 1, 2017 to Mar 30, 2018
      • RAUM · $334M to $167M
        May 1, 2017 to Mar 30, 2018
      • Related adviser · true to false
        May 1, 2017 to Mar 30, 2018
      • Related bank · true to false
        May 1, 2017 to Mar 30, 2018
      • Private funds · 15 to 17
        Mar 31, 2017 to May 1, 2017
      • Accounts · 30 to 15
        Jan 25, 2017 to Mar 31, 2017
      • Advisory employees · 96 to 1
        Jan 25, 2017 to Mar 31, 2017
      • Advisory activities · 2 to 1
        Jan 25, 2017 to Mar 31, 2017
      • Assets in custody · $13B to $0
        Jan 25, 2017 to Mar 31, 2017
      • Custody of client assets · true to false
        Jan 25, 2017 to Mar 31, 2017
      • Employees · 177 to 7
        Jan 25, 2017 to Mar 31, 2017
      • Private funds · 16 to 15
        Jan 25, 2017 to Mar 31, 2017
      • Discretionary RAUM · $14B to $334M
        Jan 25, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $380M to $0
        Jan 25, 2017 to Mar 31, 2017
      • RAUM · $15B to $334M
        Jan 25, 2017 to Mar 31, 2017
      • Advisory activities · 3 to 2
        Aug 1, 2016 to Dec 6, 2016
      • Accounts · 34 to 30
        Mar 10, 2016 to Mar 30, 2016
      • Advisory employees · 104 to 96
        Mar 10, 2016 to Mar 30, 2016
      • Assets in custody · $12B to $13B
        Mar 10, 2016 to Mar 30, 2016
      • Employees · 164 to 177
        Mar 10, 2016 to Mar 30, 2016
      • Private funds · 14 to 16
        Mar 10, 2016 to Mar 30, 2016
      • Discretionary RAUM · $14B to $14B
        Mar 10, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $447M to $380M
        Mar 10, 2016 to Mar 30, 2016
      • RAUM · $15B to $15B
        Mar 10, 2016 to Mar 30, 2016
      • Accounts · 28 to 34
        Nov 20, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • V••••• A•••• M••••••••• L• reported RAUM $167.2M, down 50% from $334.0M (2017-05-01 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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