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•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 157246SEC 801-73489IAPD
Latest filing Aug 28, 2020
First filing on the tape Feb 13, 2012 · 18 filings
RAUM
$2.5B
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
25
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$2.4B gross assets
History
18 filings and snapshots on the tape
RAUM$2.5B as of Mar 30, 2020
Mar 14, 2013$3.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 14, 20130 then
Employees (5.A)25 as of Mar 30, 2020
Mar 14, 201324 then
Private funds5 as of Mar 30, 2020
Mar 14, 20135 then
RAUM -7.5% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 28, 2020; 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
$421MderivedRAUM 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
-7.5%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
Custody
$2.5B, 6 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • 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$2.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.5B for 6 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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••••• C••••• P••••••• M••••• F•••• L•••no longer reportedHedge Fund$83.1M33Feb 13, 2012
      V•••••• C•••••• P••••••• O••••••• M••••• F•••• L•••Hedge Fund$61.1M126Feb 13, 2012
      V•••••• C••••• P•••••••• L•••no longer reportedHedge Fund$43.7M26Feb 13, 2012
      V•••••• C••••• P••••••• O•••••••• L•••no longer reportedHedge Fund$24.2M6Feb 13, 2012
      V•••••• C•••••• P•••••••• L•••Hedge Fund$14.1M72Feb 13, 2012
      V••• P•••••••• L•••Private Equity Fund$7.8M21Feb 25, 2019
      V•• P•••••••• L•••Private Equity Fund$20,9956Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • A••••••••• D••••• A••• · Chief Financial Officer & Chief Operating Officercontrol
        since 07/2007 · owns less than 5%
      • G••••• D••••• L••••••• · Managing Partner & Chief Compliance Officercontrol
        since 07/2007 · owns 75% or more
      • G••••• D••••• L••••••• · Managing Membercontrol
        since 04/2015 · owns 75% or more of V•••••• M••••••••• A••••••••• L••
      Entity owners
      • V•••••• M••••••••• A••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • V•••••• A••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 5 to 3
        Mar 30, 2020 to Aug 28, 2020
      • Advisory employees · 18 to 14
        Mar 29, 2019 to Mar 30, 2020
      • Assets in custody · $2.7B to $2.5B
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 32 to 25
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $2.7B to $2.5B
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $2.7B to $2.5B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $2.7B to $2.5B
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 5 to 6
        Feb 25, 2019 to Mar 29, 2019
      • Advisory employees · 16 to 18
        Feb 25, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 5 to 6
        Feb 25, 2019 to Mar 29, 2019
      • Assets in custody · $0 to $2.7B
        Feb 25, 2019 to Mar 29, 2019
      • Employees · 28 to 32
        Feb 25, 2019 to Mar 29, 2019
      • Discretionary RAUM · $4.1B to $2.7B
        Feb 25, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $4.1B to $2.7B
        Feb 25, 2019 to Mar 29, 2019
      • RAUM · $4.1B to $2.7B
        Feb 25, 2019 to Mar 29, 2019
      • Private funds · 4 to 5
        Jul 16, 2018 to Feb 25, 2019
      • Advisory employees · 18 to 16
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 32 to 28
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $4.6B to $4.1B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 4115827834.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $4.6B to $4.1B
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 16 to 18
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 29 to 32
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $4.7B to $4.6B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $4.7B to $4.6B
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 3 to 5
        Sep 4, 2015 to Mar 30, 2016
      • Employees · 30 to 29
        Sep 4, 2015 to Mar 30, 2016
      • Private funds · 3 to 4
        Sep 4, 2015 to Mar 30, 2016
      • Discretionary RAUM · $5.3B to $4.7B
        Sep 4, 2015 to Mar 30, 2016
      • RAUM · $5.3B to $4.7B
        Sep 4, 2015 to Mar 30, 2016
      • Business name · V•••••• M••••••••• L•• to V•••••• M••••••••• L•••
        May 29, 2015 to Sep 4, 2015
      • Legal name · V•••••• M••••••••• L•• to V•••••• M••••••••• L•••
        May 29, 2015 to Sep 4, 2015
      • Succession · true to false
        May 29, 2015 to Sep 4, 2015
      • Organization form · Limited Liability Company to Limited Partnership
        Mar 27, 2015 to May 29, 2015
      • Private funds · 2 to 3
        Mar 27, 2015 to May 29, 2015
      • Related adviser · false to true
        Mar 27, 2015 to May 29, 2015
      • Succession · false to true
        Mar 27, 2015 to May 29, 2015
      • Advisory employees · 14 to 16
        Nov 14, 2014 to Mar 27, 2015
      Signals
      3 dated events
      • Matthew Owen Schmidt (General Counsel And Chief Compliance Officer) no longer on Schedule A of V•••••• M••••••••• L••• (listed 2020-03-30, absent 2020-08-28)
        Aug 28, 2020 · Control person left · inference
      • V•••••• M••••••••• L••• reported RAUM $2.7B, down 34% from $4.1B (2019-02-25 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • V•••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 29, 2015 · 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