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•••••••

Former SEC-registered adviserSan Juan, PRCRD 156511SEC 801-77923IAPD
Legal name V••••••• A••••••• L••
Latest filing Apr 8, 2015
First filing on the tape Apr 1, 2013 · 7 filings
RAUM
$115M
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$140M gross assets
History
7 filings and snapshots on the tape
RAUM$115M as of Apr 8, 2015
Mar 31, 2014$219M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 8, 2015
Mar 31, 20141 then
Employees (5.A)2 as of Apr 8, 2015
Mar 31, 20142 then
Private funds2 as of Apr 8, 2015
Mar 31, 20142 then
RAUM -47% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 8, 2015; every figure names its basis
RAUM per advisor
$115MderivedRAUM 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
$57.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-47%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%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 vehiclesreportedItem 5.G
Custody
$115M, 2 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$115M 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••• B••••• F•••••• I•• L••Real Estate Fund$138M3Apr 1, 2013
      P••••• B••••• F•••••• L••Real Estate Fund$2.0M9Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• J•••••• H••• · Chief Financial Officer, Chief Compliance Officer And Chief Investment Officercontrol
        since 11/2010 · owns 25% to 50%
      • P•••••• N•••••••• A•••• · Chief Executive Officercontrol
        since 04/2010 · owns 50% to 75%
      • P•••••• V•••••••• · Member
        since 04/2010 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwich, CT
      What changed
      consecutive filings, newest first
      • Assets in custody · $219M to $115M
        Mar 31, 2014 to Apr 8, 2015
      • Discretionary RAUM · $219M to $115M
        Mar 31, 2014 to Apr 8, 2015
      • RAUM · $219M to $115M
        Mar 31, 2014 to Apr 8, 2015
      • Assets in custody · $140M to $219M
        Nov 27, 2013 to Mar 31, 2014
      • Employees · 4 to 2
        Nov 27, 2013 to Mar 31, 2014
      • Discretionary RAUM · $217M to $219M
        Nov 27, 2013 to Mar 31, 2014
      • RAUM · $217M to $219M
        Nov 27, 2013 to Mar 31, 2014
      • HQ city · GREENWICH to SAN JUAN
        Oct 11, 2013 to Nov 27, 2013
      • HQ state · CT to PR
        Oct 11, 2013 to Nov 27, 2013
      • Discretionary RAUM · $140M to $217M
        Apr 1, 2013 to Oct 7, 2013
      • RAUM · $140M to $217M
        Apr 1, 2013 to Oct 7, 2013
      Signals
      1 dated events
      • V••••••• A••••••• filed its initial SEC registration (Form ADV)
        Apr 1, 2013 · First SEC registration · 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
      Across the graphs

      V••••••• A••••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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