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•••••••••
Legal name V•••••••• C•••••• M••••••••• L••
Latest filing Mar 21, 2026
First filing on the tape Oct 25, 2019 · 16 filings
SEC status approved since Nov 22, 2019
RAUM
$268M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$268M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$268M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$268M as of Mar 21, 2026
Mar 30, 2020$114M then
HNW client RAUM$253M as of Mar 21, 2026
Mar 30, 2020$101M then
State-registered IARs (5.B.3)1 as of Mar 21, 2026
Mar 30, 20201 then
Employees (5.A)1 as of Mar 21, 2026
Mar 30, 20201 then
Private funds: no history
RAUM +17% over the last fiscal year+25% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $268MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 125derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $991,848derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$253M95%
- Individuals$14.6M5.5%
- Individual clients
- 71reported
- HNW clients
- 54reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 270reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• P• S••••• | Seattle, Wa | Nov 7, 2011 | 22 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••• P• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 7, 2011 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• R•••• P• · Manager, Chief Compliance Officercontrolsince 08/2011 · owns 75% or more
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
- Accounts · 256 to 270Feb 21, 2025 to Mar 21, 2026
- HNW clients · 53 to 54Feb 21, 2025 to Mar 21, 2026
- Individual clients · 64 to 71Feb 21, 2025 to Mar 21, 2026
- Discretionary RAUM · $184M to $223MFeb 21, 2025 to Mar 21, 2026
- HNW RAUM · $213M to $253MFeb 21, 2025 to Mar 21, 2026
- Individual RAUM · $15.0M to $14.6MFeb 21, 2025 to Mar 21, 2026
- Non-discretionary RAUM · $44.0M to $44.8MFeb 21, 2025 to Mar 21, 2026
- RAUM · $228M to $268MFeb 21, 2025 to Mar 21, 2026
- Accounts · 230 to 256Mar 26, 2024 to Feb 21, 2025
- HNW clients · 50 to 53Mar 26, 2024 to Feb 21, 2025
- Individual clients · 57 to 64Mar 26, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Feb 21, 2025
- Discretionary RAUM · $141M to $184MMar 26, 2024 to Feb 21, 2025
- HNW RAUM · $159M to $213MMar 26, 2024 to Feb 21, 2025
- Individual RAUM · $18.5M to $15.0MMar 26, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $36.7M to $44.0MMar 26, 2024 to Feb 21, 2025
- RAUM · $178M to $228MMar 26, 2024 to Feb 21, 2025
- Accounts · 238 to 230Mar 27, 2023 to Mar 26, 2024
- HNW clients · 26 to 50Mar 27, 2023 to Mar 26, 2024
- Individual clients · 42 to 57Mar 27, 2023 to Mar 26, 2024
- Discretionary RAUM · $108M to $141MMar 27, 2023 to Mar 26, 2024
- HNW RAUM · $123M to $159MMar 27, 2023 to Mar 26, 2024
- Individual RAUM · $12.8M to $18.5MMar 27, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $27.5M to $36.7MMar 27, 2023 to Mar 26, 2024
- RAUM · $136M to $178MMar 27, 2023 to Mar 26, 2024
- Accounts · 224 to 238Mar 24, 2022 to Mar 23, 2023
- HNW clients · 45 to 26Mar 24, 2022 to Mar 23, 2023
- Individual clients · 21 to 42Mar 24, 2022 to Mar 23, 2023
- Discretionary RAUM · $136M to $108MMar 24, 2022 to Mar 23, 2023
- HNW RAUM · $156M to $123MMar 24, 2022 to Mar 23, 2023
- Individual RAUM · $12.7M to $12.8MMar 24, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $32.5M to $27.5MMar 24, 2022 to Mar 23, 2023
- RAUM · $169M to $136MMar 24, 2022 to Mar 23, 2023
- Accounts · 187 to 224Jun 24, 2021 to Mar 24, 2022
- HNW clients · 33 to 45Jun 24, 2021 to Mar 24, 2022
- Individual clients · 22 to 21Jun 24, 2021 to Mar 24, 2022
- Discretionary RAUM · $110M to $136MJun 24, 2021 to Mar 24, 2022
- HNW RAUM · $111M to $156MJun 24, 2021 to Mar 24, 2022
- Individual RAUM · $14.1M to $12.7MJun 24, 2021 to Mar 24, 2022
- Non-discretionary RAUM · $15.4M to $32.5MJun 24, 2021 to Mar 24, 2022
Signals
1 dated events
- V•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Oct 25, 2019 · First SEC registration · fact
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
- Business phone
- 206-219-1410reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-219-1455reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- V••••••••CAPITALLLC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 206-219-1410reportedpublic record, Form ADV, Mar 21, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $268Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026