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•••• H••••••• M••••••••• C•• L••
Latest filing May 11, 2026
First filing on the tape Feb 14, 2012 · 18 filings
SEC status approved since May 24, 2011
RAUM
$695M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$695M as of May 11, 2026
Feb 14, 2012$110M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2026
Feb 14, 20120 then
Employees (5.A)1 as of May 11, 2026
Mar 6, 20131 then
Private funds2 as of May 11, 2026
Feb 6, 20172 then
RAUM +2.8% over the last fiscal year+10.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
- $347MderivedRAUM 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
- +2.8%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$695M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- 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=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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••• H•••••••• L••• | Hedge Fund | $446M | 71 | Feb 6, 2017 |
| S••••••••• V•••• P•••••••• L• | Hedge Fund | $134M | 29 | Feb 6, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C••••• T••••••• J••••• · Chief Compliance Officer, Managing Membercontrolsince 09/2002 · owns 75% or more
Related persons
Schedule D 7.A
- S•••• L••pooled vehicle sponsorn
- S••••••••• C••••••• L••pooled vehicle sponsorn
- V•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $675M to $695MJan 14, 2025 to Jan 12, 2026
- Pooled vehicle RAUM · $675M to $695MJan 14, 2025 to Jan 12, 2026
- RAUM · $675M to $695MJan 14, 2025 to Jan 12, 2026
- Financial planning clients · unset to Jan 15, 2024 to Jan 14, 2025
- HQ city · unset to Jan 15, 2024 to Jan 14, 2025
- HQ state · unset to Jan 15, 2024 to Jan 14, 2025
- Discretionary RAUM · $577M to $675MJan 15, 2024 to Jan 14, 2025
- Pooled vehicle RAUM · $577M to $675MJan 15, 2024 to Jan 14, 2025
- RAUM · $577M to $675MJan 15, 2024 to Jan 14, 2025
- Discretionary RAUM · $522M to $577MJan 15, 2023 to Jan 15, 2024
- Pooled vehicle RAUM · $522M to $577MJan 15, 2023 to Jan 15, 2024
- RAUM · $522M to $577MJan 15, 2023 to Jan 15, 2024
- Discretionary RAUM · $543M to $522MJan 10, 2022 to Jan 15, 2023
- Pooled vehicle RAUM · $543M to $522MJan 10, 2022 to Jan 15, 2023
- RAUM · $543M to $522MJan 10, 2022 to Jan 15, 2023
- Discretionary RAUM · $480M to $543MJan 22, 2021 to Jan 10, 2022
- Pooled vehicle RAUM · $480M to $543MJan 22, 2021 to Jan 10, 2022
- RAUM · $480M to $543MJan 22, 2021 to Jan 10, 2022
- Discretionary RAUM · $430M to $480MFeb 3, 2020 to Jan 22, 2021
- Pooled vehicle RAUM · $430M to $480MFeb 3, 2020 to Jan 22, 2021
- RAUM · $430M to $480MFeb 3, 2020 to Jan 22, 2021
- Discretionary RAUM · $330M to $430MFeb 8, 2019 to Feb 3, 2020
- Pooled vehicle RAUM · $330M to $430MFeb 8, 2019 to Feb 3, 2020
- RAUM · $330M to $430MFeb 8, 2019 to Feb 3, 2020
- Discretionary RAUM · $394M to $330MFeb 12, 2018 to Feb 8, 2019
- Pooled vehicle RAUM · $394M to $330MFeb 12, 2018 to Feb 8, 2019
- RAUM · $394M to $330MFeb 12, 2018 to Feb 8, 2019
- Pooled vehicle clients · unset to 2.0Mar 3, 2017 to Feb 12, 2018
- Other offices · unset to 0.0Mar 3, 2017 to Feb 12, 2018
- Discretionary RAUM · $322M to $394MMar 3, 2017 to Feb 12, 2018
- Pooled vehicle RAUM · unset to 393652763.0Mar 3, 2017 to Feb 12, 2018
- RAUM · $322M to $394MMar 3, 2017 to Feb 12, 2018
- Business name · V•••• H•••••••• L••• to V•••• H••••••• M••••••••• C•• L••Feb 6, 2017 to Mar 3, 2017
- Legal name · V•••• H•••••••• L••• to V•••• H••••••• M••••••••• C•• L••Feb 6, 2017 to Mar 3, 2017
- Accounts · 76 to 2Feb 9, 2016 to Feb 6, 2017
- Advisory activities · 3 to 1Feb 9, 2016 to Feb 6, 2017
- Assets in custody · 369.0 to unsetFeb 9, 2016 to Feb 6, 2017
- Custody of client assets · true to falseFeb 9, 2016 to Feb 6, 2017
- Organization form · Limited Partnership to Limited Liability CompanyFeb 9, 2016 to Feb 6, 2017
- Private funds · unset to 2Feb 9, 2016 to Feb 6, 2017
Signals
1 dated events
- V•••• H••••••• M••••••••• C•• L•• reported RAUM $430.0M, up 30% from $329.5M (2019-02-08 to 2020-02-03)Feb 3, 2020 · RAUM change · derived
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
- Principal office phone
- 917-836-9480reportedpublic record, Form ADV, May 11, 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