DFX Intelligence

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SEC-registered adviser

V••••••••• A••••••• L••

Asset manager (funds and pooled vehicles)CRD 157394SEC 801-72644website IAPD

Latest filing Mar 30, 2026

First filing on the tape Dec 19, 2011 · 26 filings

SEC status approved since Aug 30, 2011

RAUM

$164M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$164M as of Mar 30, 2026

Mar 29, 2012$1.1M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 29, 20120 then

Employees (5.A)5 as of Mar 30, 2026

Mar 18, 20136 then

Private funds: no history

RAUM -5.5% over the last fiscal year-0.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $164MderivedRAUM 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: -5.5%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 assetsreportedItem 5.E
Advisory activities: portfolio management for investment companiesreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Investment companies$164M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••• R••••• A•••• · Elected Managercontrol
since 09/2011 · owns 5% to 10%
F•••••••• M••••• · Chief Executive Officer, Elected Managercontrol
since 09/2014 · owns 75% or more
A••••• R••••• S••••• · Trusteecontrol
since 08/2009 · owns 25% to 50% of B••••• Family Trust
E•••••••• C•••••• A•••••• · Managercontrol
since 01/2011 · owns 25% to 50% of E•••• R••••• C•••••• I•••••••••
S••••• R••••••• E•••••• · Sole Membercontrol
since 03/2011 · owns 75% or more of Resiii LLC
A••••• J••• · Member
since 03/2024 · owns less than 5%
B•••••• L••••• N•• · Member
since 03/2024 · owns less than 5%
B•••••• C•••• · Member
since 03/2012 · owns 5% to 10%
B•••••••• P••••••• T•••••• · Member
since 03/2024 · owns less than 5%
H••••••• E•••••• B• · Member
since 03/2012 · owns 5% to 10%
S••••••• I••• A••••• · Member
since 03/2024 · owns less than 5%
T•••••• C••••••••• H••••• · Chief Compliance Officer
since 09/2014 · owns less than 5%

Entity owners

E•••• R••••• C•••••• I••••••••• · Member
direct · owns 5% to 10%
R•••• A•••• T•••• · Owner
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Discretionary RAUM · $174M to $164M
Mar 27, 2025 to Mar 30, 2026
RAUM · $174M to $164M
Mar 27, 2025 to Mar 30, 2026
Financial planning clients · unset to
Mar 28, 2024 to Mar 27, 2025
HQ city · unset to
Mar 28, 2024 to Mar 27, 2025
HQ state · unset to
Mar 28, 2024 to Mar 27, 2025
Discretionary RAUM · $182M to $174M
Mar 28, 2024 to Mar 27, 2025
RAUM · $182M to $174M
Mar 28, 2024 to Mar 27, 2025
Discretionary RAUM · $167M to $182M
Mar 28, 2023 to Mar 28, 2024
RAUM · $167M to $182M
Mar 28, 2023 to Mar 28, 2024
Discretionary RAUM · $177M to $167M
Jan 11, 2023 to Mar 28, 2023
RAUM · $177M to $167M
Jan 11, 2023 to Mar 28, 2023
HQ city · GOLETA to unset
Mar 25, 2021 to Mar 28, 2022
HQ state · CA to unset
Mar 25, 2021 to Mar 28, 2022
Discretionary RAUM · $135M to $177M
Mar 25, 2021 to Mar 28, 2022
RAUM · $135M to $177M
Mar 25, 2021 to Mar 28, 2022
Discretionary RAUM · $188M to $135M
Dec 1, 2020 to Mar 25, 2021
RAUM · $188M to $135M
Dec 1, 2020 to Mar 25, 2021
HQ city · ALTADENA to GOLETA
Mar 26, 2020 to Dec 1, 2020
Discretionary RAUM · $226M to $188M
Mar 28, 2019 to Mar 26, 2020
RAUM · $226M to $188M
Mar 28, 2019 to Mar 26, 2020
Discretionary RAUM · $308M to $226M
Mar 28, 2018 to Mar 28, 2019
RAUM · $308M to $226M
Mar 28, 2018 to Mar 28, 2019
Accounts · 2 to 1
Mar 28, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
Discretionary RAUM · $306M to $308M
Mar 28, 2017 to Mar 28, 2018
RAUM · $306M to $308M
Mar 28, 2017 to Mar 28, 2018
Accounts · 1 to 2
May 5, 2016 to Mar 28, 2017
Financial planning clients · 0 to unset
May 5, 2016 to Mar 28, 2017
Discretionary RAUM · $208M to $306M
May 5, 2016 to Mar 28, 2017
RAUM · $208M to $306M
May 5, 2016 to Mar 28, 2017
BD registered reps · 2 to 0
Mar 29, 2016 to May 5, 2016
BD registered reps · 1 to 2
Jan 8, 2016 to Mar 29, 2016
Employees · 4 to 5
Jan 8, 2016 to Mar 29, 2016
Financial planning clients · unset to 0
Jan 8, 2016 to Mar 29, 2016
Discretionary RAUM · $184M to $208M
Jan 8, 2016 to Mar 29, 2016
RAUM · $184M to $208M
Jan 8, 2016 to Mar 29, 2016
HQ city · PASADENA to ALTADENA
Apr 10, 2015 to Jan 8, 2016
Discretionary RAUM · $129M to $184M
Jan 27, 2015 to Mar 25, 2015
RAUM · $129M to $184M
Jan 27, 2015 to Mar 25, 2015
Employees · 6 to 4
Mar 21, 2014 to Jan 26, 2015

Signals

3 dated events

Philip Neil Berman (Trustee) no longer on Schedule A of V••••••••• A••••••• L•• (listed 2020-12-01, absent 2021-03-25)
Mar 25, 2021 · Control person left · inference
Maxwell David Berman (Trustee) no longer on Schedule A of V••••••••• A••••••• L•• (listed 2020-12-01, absent 2021-03-25)
Mar 25, 2021 · Control person left · inference
Nmn Sydell Berman (Trustee) no longer on Schedule A of V••••••••• A••••••• L•• (listed 2020-12-01, absent 2021-03-25)
Mar 25, 2021 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: V•••••••••.COMreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: 805 570-1086reportedpublic record, Form ADV, Mar 30, 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