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••••• C•••••• M••••••••• L•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 156682SEC 801-73516IAPD
Latest filing Apr 16, 2014
First filing on the tape Feb 13, 2012 · 6 filings
RAUM
$2.4B
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
34
21 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
15
$1.8B gross assets
History
6 filings and snapshots on the tape
RAUM$2.4B as of Mar 31, 2014
Mar 28, 2013$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 28, 20130 then
Employees (5.A)34 as of Mar 31, 2014
Mar 28, 201334 then
Private funds15 as of Mar 31, 2014
Mar 28, 201315 then
RAUM -0.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 16, 2014; 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
$161MderivedRAUM 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
-0.3%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
15reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• A••••••••• R••••• · Ownercontrol
        since 05/1998 · owns 75% or more
      • S•••••• A••••••••• R••••• · Ownercontrol
        since 01/2014 · owns 75% or more of V•• H•••••••• I•••
      • S•••••• A••••••••• R••••• · Owner And Managing Membercontrol
        since 01/2014 · owns 75% or more of V••••• Capital, LLC
      • A•••••••• K••••• R• · Chief Compliance Officer
        since 04/2011 · owns less than 5%
      • B•••••• D••••• A•••••• · Chief Operating Officer
        since 04/2008 · owns less than 5%
      • K•••••• R••• S•••• · Chief Financial Officer
        since 11/2009 · owns less than 5%
      Entity owners
      • V•• H•••••••• I••• · Owner
        direct · owns 10% to 25%
      • V••••• C••••••• L••••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • V•• C•••••• L••
        pooled vehicle sponsorn
      • V•• I• I••••••••• L••
        pooled vehicle sponsorn
      • V••••• C•••••• P••••••• I• I••••••••• L•••
        pooled vehicle sponsorn
      • V••••• C•••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • V••••• C•••••• P••••••• I••• L•••
        pooled vehicle sponsorn
      • V••••• C•••••• P••••••• I•• L•
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 2 to 21
        Mar 31, 2014 to Apr 16, 2014
      • Business name · V••••• C•••••• C••••••••• to V••••• C•••••• M••••••••• L•••
        Mar 31, 2014 to Apr 16, 2014
      • Legal name · V••••• C•••••• C••••••••• to V••••• C•••••• M••••••••• L•••
        Mar 31, 2014 to Apr 16, 2014
      • Succession · true to false
        Mar 31, 2014 to Apr 16, 2014
      • Advisory employees · 22 to 2
        Nov 26, 2013 to Mar 31, 2014
      • BD registered reps · 1 to 0
        Nov 26, 2013 to Mar 31, 2014
      • Organization form · Corporation to Limited Partnership
        Nov 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $2.4B to $2.4B
        Nov 26, 2013 to Mar 31, 2014
      • RAUM · $2.4B to $2.4B
        Nov 26, 2013 to Mar 31, 2014
      • Succession · false to true
        Nov 26, 2013 to Mar 31, 2014
      • Accounts · 13 to 15
        Feb 13, 2012 to Mar 28, 2013
      • Advisory employees · unset to 22.0
        Feb 13, 2012 to Mar 28, 2013
      • BD registered reps · unset to 1.0
        Feb 13, 2012 to Mar 28, 2013
      • Employees · unset to 34.0
        Feb 13, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 13, 2012 to Mar 28, 2013
      • Private funds · 12 to 15
        Feb 13, 2012 to Mar 28, 2013
      • Discretionary RAUM · $2.9B to $2.4B
        Feb 13, 2012 to Mar 28, 2013
      • RAUM · $2.9B to $2.4B
        Feb 13, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • V••••• C•••••• C••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 31, 2014 · Succession (Item 4) · 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