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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SEC-registered adviser
V••••• C•••••• P•••••••• L••
Latest filing Apr 25, 2026
First filing on the tape Feb 14, 2012 · 36 filings
SEC status approved since Mar 29, 2012
RAUM
$2.6B
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
29
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
20
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$2.6B as of Apr 25, 2026
Apr 1, 2013$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 25, 2026
Apr 1, 20130 then
Employees (5.A)29 as of Apr 25, 2026
Apr 1, 201354 then
Private funds20 as of Apr 25, 2026
Apr 1, 201357 then
RAUM -21% over the last fiscal year-4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 25, 2026; 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
- $128MderivedRAUM 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
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 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 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.6B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 20reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
Private funds
87 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••• C•••••• P••••••• R••••••••• L••• | Private Equity Fund | $1.2B | 99 | Jul 28, 2024 |
| V••••• C•••••• P••••••• V••• L••• | Private Equity Fund | $972M | 52 | Mar 31, 2018 |
| V••••• I•••••• C•••••••• A••••••••• L••• | Private Equity Fund | $776M | 40 | Mar 29, 2024 |
| V••••• C•••••• P••••••• V•• L••• | Private Equity Fund | $392M | 32 | Feb 14, 2012 |
| P••••••••• F•••• I••••••• L• | Private Equity Fund | $312M | 19 | Mar 30, 2020 |
| V•••• C•••••••• A••••••••• I•• L••• | Private Equity Fund | $137M | 14 | Mar 31, 2022 |
| V••••• C•••••• P••••••• V••••• L••• | Private Equity Fund | $121M | 20 | Mar 31, 2018 |
| I•• C•••••••• A••••••••• L••• | Private Equity Fund | $109M | 29 | Mar 31, 2019 |
| V•• T••••• C•••••••• A••••••••• L• | Private Equity Fund | $93.1M | 26 | Mar 29, 2024 |
| V•• B••••• C••••••••• L••• | Private Equity Fund | $71.4M | 31 | Mar 31, 2022 |
| V•• Q••••• L••no longer reported | Private Equity Fund | $46.1M | 5 | Mar 31, 2018 |
| V••••• C•••••• P••••••• V•••• L••• | Private Equity Fund | $42.4M | 17 | Feb 14, 2012 |
| S••••••• F•••• C•••••••• A••••••••• L••• | Private Equity Fund | $40.4M | 22 | Mar 31, 2022 |
| V••••• • P••••••• I••••••••• I• L••• | Private Equity Fund | $32.2M | 8 | Mar 31, 2017 |
| V•••• C•••••••• A••••••••• L••• | Private Equity Fund | $29.1M | 13 | Mar 31, 2022 |
| V••••• E••••••••• V••• L••• | Private Equity Fund | $27.6M | 75 | Mar 31, 2018 |
| V•••• C•••••••• A••••••••• 1• L•• | Private Equity Fund | $23.0M | 9 | Mar 31, 2019 |
| V••••• C•• 3• S•••no longer reported | Private Equity Fund | $8.4M | 10 | Feb 14, 2012 |
| V••••• E••••••••• V•• L••• | Private Equity Fund | $6.3M | 29 | Feb 14, 2012 |
| V••••• C•••••••• V•• L••• | Private Equity Fund | $6.1M | 28 | Feb 14, 2012 |
| P•• S•••no longer reported | Private Equity Fund | $5.5M | 5 | Feb 14, 2012 |
| V•••• N•• C••••••••• L•• | Private Equity Fund | $4.4M | 2 | Mar 31, 2018 |
| V•• E•• C••••••••• L•• | Private Equity Fund | $3.5M | 7 | Mar 31, 2018 |
| V•••• C•••••••• A••••••••• 2• L•• | Private Equity Fund | $2.4M | 14 | Mar 31, 2019 |
| V••••••••• H•••••••• L••no longer reported | Private Equity Fund | $1.7M | 17 | Feb 14, 2012 |
| V••••• S•••••• L••no longer reported | Private Equity Fund | $1.7M | 13 | Feb 14, 2012 |
| V••••• C•••••• P••••••• V• L••• | Private Equity Fund | $1.5M | 132 | Feb 14, 2012 |
| D• I•••••••• S•••no longer reported | Private Equity Fund | $1.5M | 4 | Feb 14, 2012 |
| W••••• C••••••••• L•••no longer reported | Private Equity Fund | $1.1M | 8 | Mar 30, 2016 |
| V•• V• S••no longer reported | Private Equity Fund | $883,383 | 5 | Feb 14, 2012 |
| V••••• I•••••••• V•• L••• | Private Equity Fund | $758,758 | 17 | Mar 31, 2014 |
| V••••••••• I••••••••• C•••••• I• L•••no longer reported | Private Equity Fund | $598,158 | 3 | Feb 14, 2012 |
| V••••• C•••••• P••••••• V••• L••• | Private Equity Fund | $531,871 | 54 | Feb 14, 2012 |
| V••••• C•••••• P••••••• I•• L•••no longer reported | Private Equity Fund | $527,653 | 160 | Feb 14, 2012 |
| V••••• H••••••• V• L••• | Private Equity Fund | $443,987 | 2 | Feb 14, 2012 |
| V••••• C•••••••• V• L••• | Private Equity Fund | $429,554 | 40 | Feb 14, 2012 |
| V••••• C•• I••••••••• L••no longer reported | Private Equity Fund | $229,620 | 10 | Feb 14, 2012 |
| V••••••••• I••••••••• I• L•••no longer reported | Private Equity Fund | $158,142 | 12 | Mar 31, 2015 |
| V••••••••• I••••••••• I• L•••no longer reported | Private Equity Fund | $123,617 | 15 | Feb 14, 2012 |
| V••••• E••••••••• V• L••• | Private Equity Fund | $108,489 | 114 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• M•••••••• D••••• · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- O••••••• K••••••• J••• · Chief Operating Officercontrolsince 11/2009 · owns less than 5%
- O•••••••• D•••••• S•••••• · Chief Executive Officercontrolsince 04/1988 · owns less than 5%
- S•••••••• B••••• P••• · Authorized Signatorycontrolsince 07/2019 · owns less than 5%
- S•••••••• B••••••• J••••• · Chief Financial Officercontrolsince 05/2018 · owns less than 5%
- O•••••••• D•••••• S•••••• · Shareholdercontrolsince 05/1993 · owns 75% or more of V••••• M••••••••• C••••••••• I•
Entity owners
- V••••• M••••••••• C••••••••• I• · Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- V••••• A••••••••• V• L•••bankpooled vehicle sponsorn
- V••••• A••••••••• V•• L•••bankpooled vehicle sponsorn
- V••••• A••••••••• V••• L•••bankpooled vehicle sponsorn
- V••••• M••••••• V• L•••pooled vehicle sponsorn
- V••••• M••••••• V• L•••pooled vehicle sponsorn
- V••••• M••••••• V•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Denver, CO1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 25, 2026employees (Item 5.A) moved from 43.0 to 29.0 (-33.0%) between the annual amendments of 2025-04-30 and 2026-04-25; the peer median change was 0.0% (1109 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 2.0% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $2.6B to $2.6BMar 30, 2026 to Apr 25, 2026
- Pooled vehicle RAUM · $2.6B to $2.6BMar 30, 2026 to Apr 25, 2026
- RAUM · $2.6B to $2.6BMar 30, 2026 to Apr 25, 2026
- Accounts · 23 to 20Nov 3, 2025 to Mar 30, 2026
- Advisory employees · 26 to 16Nov 3, 2025 to Mar 30, 2026
- Pooled vehicle clients · 23 to 20Nov 3, 2025 to Mar 30, 2026
- Employees · 43 to 29Nov 3, 2025 to Mar 30, 2026
- Private funds · 23 to 20Nov 3, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.2B to $2.6BNov 3, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.2B to $2.6BNov 3, 2025 to Mar 30, 2026
- RAUM · $3.2B to $2.6BNov 3, 2025 to Mar 30, 2026
- Accounts · 33 to 23Jul 28, 2024 to Apr 30, 2025
- Pooled vehicle clients · 33 to 23Jul 28, 2024 to Apr 30, 2025
- Assets in custody · 2990914488.0 to unsetJul 28, 2024 to Apr 30, 2025
- Custody of client assets · true to falseJul 28, 2024 to Apr 30, 2025
- Financial planning clients · unset to Jul 28, 2024 to Apr 30, 2025
- Other offices · 1 to 0Jul 28, 2024 to Apr 30, 2025
- Private funds · 34 to 23Jul 28, 2024 to Apr 30, 2025
- Discretionary RAUM · $3.2B to $3.2BJul 28, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $3.2B to $3.2BJul 28, 2024 to Apr 30, 2025
- RAUM · $3.2B to $3.2BJul 28, 2024 to Apr 30, 2025
- Private funds · 33 to 34Apr 29, 2024 to Jul 28, 2024
- Assets in custody · $3.0B to $3.0BMar 29, 2024 to Apr 29, 2024
- Discretionary RAUM · $3.2B to $3.2BMar 29, 2024 to Apr 29, 2024
- Pooled vehicle RAUM · $3.2B to $3.2BMar 29, 2024 to Apr 29, 2024
- RAUM · $3.2B to $3.2BMar 29, 2024 to Apr 29, 2024
- Accounts · 39 to 33Apr 25, 2023 to Mar 29, 2024
- Pooled vehicle clients · 39 to 33Apr 25, 2023 to Mar 29, 2024
- Assets in custody · $2.6B to $3.0BApr 25, 2023 to Mar 29, 2024
- Employees · 44 to 43Apr 25, 2023 to Mar 29, 2024
- Private funds · 39 to 33Apr 25, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.9B to $3.2BApr 25, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $2.9B to $3.2BApr 25, 2023 to Mar 29, 2024
- RAUM · $2.9B to $3.2BApr 25, 2023 to Mar 29, 2024
- Assets in custody · $2.6B to $2.6BMar 31, 2023 to Apr 25, 2023
- Discretionary RAUM · $2.9B to $2.9BMar 31, 2023 to Apr 25, 2023
- Pooled vehicle RAUM · $2.9B to $2.9BMar 31, 2023 to Apr 25, 2023
- RAUM · $2.9B to $2.9BMar 31, 2023 to Apr 25, 2023
- Advisory employees · 27 to 26May 18, 2022 to Mar 31, 2023
- Assets in custody · $2.4B to $2.6BMay 18, 2022 to Mar 31, 2023
Signals
6 dated events
- V••••• C•••••• P•••••••• L•• reported RAUM $2.8B, up 35% from $2.1B (2021-05-27 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Joseph Brendan Spillane (Chief Financial Officer) appeared on Schedule A of V••••• C•••••• P•••••••• L••Mar 31, 2021 · Control person joined · fact
- Duncan Michelle Bergman (Chief Compliance Officer) appeared on Schedule A of V••••• C•••••• P•••••••• L••Jun 5, 2019 · Control person joined · fact
- Steven Della Rocca (Chief Compliance Officer) no longer on Schedule A of V••••• C•••••• P•••••••• L•• (listed 2019-03-31, absent 2019-06-05)Jun 5, 2019 · Control person left · inference
- V••••• C•••••• P•••••••• L•• reported RAUM $3.4B, up 46% from $2.3B (2017-12-13 to 2018-03-31)Mar 31, 2018 · RAUM change · derived
- V••••• C•••••• P•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 13, 2017 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- V••••• C•••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- V••••• C•••••• P•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- V•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-351-1600reportedpublic record, Form ADV, Apr 25, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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