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•••• C•••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Mar 26, 2012 · 28 filings
SEC status approved since Aug 8, 2011
RAUM
$254M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$254M as of Mar 27, 2026
Mar 26, 2012$679M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)4 as of Mar 27, 2026
Mar 28, 201314 then
Private funds5 as of Mar 27, 2026
Mar 26, 20122 then
RAUM -22% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $23.1MderivedRAUM 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
- -22%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $234M, 9 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$251M99%
- Corporations and businesses$2.7M1.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $234M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.0 related_bd=false related_bank=true 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
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••• C•••••• M••••• F••• L••• | Hedge Fund | $245M | 27 | Mar 26, 2012 |
| V•••• S•••••• S••••••••• F••• I• L• | Private Equity Fund | $65.8M | 10 | Jul 9, 2015 |
| R•••• H••••••• I•• L••• | Hedge Fund | $54.9M | 10 | Mar 28, 2018 |
| T••••••••• L• | Private Equity Fund | $45.5M | 2 | Mar 29, 2017 |
| R•••• H•••••••• L••• | Private Equity Fund | $2.8M | 3 | Mar 26, 2012 |
| V•••• R••••••• F••• I• L•no longer reported | Private Equity Fund | $994,051 | 2 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• A••• · Limited Partner And Co-Chief Investment Officercontrolsince 07/2005 · owns 25% to 50%
- W••••••• M••••••• J•• · Limited Partner And Co-Chief Investment Officercontrolsince 07/2005 · owns 25% to 50%
- Z••••• D••••• S• · Limited Partner, Chief Financial Officer And Chief Compliance Officercontrolsince 08/2005 · owns less than 5%
- B••••• J••••••• A••• · Managing Membercontrolsince 05/2005 · owns 50% to 75% of V•••• C•••••• M••••••••• G• L••
- W••••••• M••••••• J•• · Managing Membercontrolsince 05/2005 · owns 50% to 75% of V•••• C•••••• M••••••••• G• L••
Entity owners
- V•••• C•••••• M••••••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- V•••• C•••••• G• L••bankpooled vehicle sponsorn
- V•••• R•••• H••••••• G• L••bankpooled vehicle sponsorn
- V•••• S•••••• S••••••••• G• L••bankpooled vehicle sponsorn
- V•••• T••••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $302M to $234MMar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $326M to $254MMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $323M to $251MMar 26, 2025 to Mar 27, 2026
- RAUM · $326M to $254MMar 26, 2025 to Mar 27, 2026
- Advisory employees · 3 to 2Aug 23, 2024 to Mar 26, 2025
- Assets in custody · $414M to $302MAug 23, 2024 to Mar 26, 2025
- Employees · 5 to 4Aug 23, 2024 to Mar 26, 2025
- Financial planning clients · unset to Aug 23, 2024 to Mar 26, 2025
- Discretionary RAUM · $439M to $326MAug 23, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $433M to $323MAug 23, 2024 to Mar 26, 2025
- RAUM · $439M to $326MAug 23, 2024 to Mar 26, 2025
- Advisory employees · 5 to 3Mar 30, 2023 to Mar 27, 2024
- Corporate clients · 1.0 to unsetMar 30, 2023 to Mar 27, 2024
- Assets in custody · $557M to $414MMar 30, 2023 to Mar 27, 2024
- Employees · 9 to 5Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $619M to $439MMar 30, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $608M to $433MMar 30, 2023 to Mar 27, 2024
- RAUM · $619M to $439MMar 30, 2023 to Mar 27, 2024
- Assets in custody · $705M to $557MMar 30, 2022 to Mar 30, 2023
- Employees · 8 to 9Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $752M to $619MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $729M to $608MMar 30, 2022 to Mar 30, 2023
- RAUM · $752M to $619MMar 30, 2022 to Mar 30, 2023
- Assets in custody · $763M to $705MMay 17, 2021 to Mar 30, 2022
- Employees · 10 to 8May 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.0B to $752MMay 17, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.0B to $729MMay 17, 2021 to Mar 30, 2022
- RAUM · $1.0B to $752MMay 17, 2021 to Mar 30, 2022
- Accounts · 10 to 11Mar 30, 2020 to Mar 31, 2021
- Advisory activities · 1 to 2Mar 30, 2020 to Mar 31, 2021
- Corporate clients · unset to 1.0Mar 30, 2020 to Mar 31, 2021
- Assets in custody · $912M to $763MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $922M to $1.0BMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $922M to $1.0BMar 30, 2020 to Mar 31, 2021
- RAUM · $922M to $1.0BMar 30, 2020 to Mar 31, 2021
- Advisory employees · 7 to 5Mar 29, 2019 to Mar 30, 2020
- Advisory activities · 2 to 1Mar 29, 2019 to Mar 30, 2020
- Assets in custody · $0 to $912MMar 29, 2019 to Mar 30, 2020
- Employees · 12 to 10Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $879M to $922MMar 29, 2019 to Mar 30, 2020
Signals
3 dated events
- V•••• C•••••• M••••••••• L• reported RAUM $326.2M, down 26% from $439.5M (2024-08-23 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- V•••• C•••••• M••••••••• L• reported RAUM $439.5M, down 29% from $619.4M (2023-03-30 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- V•••• C•••••• M••••••••• L• reported RAUM $751.8M, down 28% from $1.0B (2021-05-17 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- V•••• C•••••• M••••••••• L• · Independent Sponsorsshared crd · capital_provider
- V•••• C•••••• M••••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-703-2100reportedpublic record, Form ADV, Mar 27, 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