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••• I••••••••• L••

Former SEC-registered adviserBellevue, WashingtonCRD 159164SEC 801-113439IAPD
Latest filing Feb 20, 2020
First filing on the tape Feb 10, 2012 · 24 filings
RAUM
$85.9M
reported, Item 5.F
Discretionary
61%
of RAUM
Private clients
100%
$85.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$85.9M as of Feb 20, 2020
Mar 19, 2012$100M then
HNW client RAUM$71.5M as of Feb 20, 2020
Feb 27, 2018$75.8M then
State-registered IARs (5.B.3)3 as of Feb 20, 2020
Jan 25, 20132 then
Employees (5.A)4 as of Feb 20, 2020
Jan 25, 20136 then
Private funds: no history
RAUM -12% over the last fiscal year-20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 20, 2020; every figure names its basis
RAUM per advisor
$28.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$197,988derivedRAUM over accounts (5.F.2.f)
Discretionary
61%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-22%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$71.5M83%
  • Individuals$14.4M17%
Individual clients
63reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
434reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••• J•••• M•••••• · Managing Member & Chief Compliance Officercontrol
    since 02/2012 · owns 25% to 50%
  • M•••••••• M•••••• U•••• · Managing Membercontrol
    since 09/2012 · owns 50% to 75%
Related persons
Schedule D 7.A
Advisers that list V••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 718 to 434
    Mar 20, 2019 to Feb 20, 2020
  • HNW clients · 25 to 52
    Mar 20, 2019 to Feb 20, 2020
  • Individual clients · 122 to 63
    Mar 20, 2019 to Feb 20, 2020
  • Employees · 6 to 4
    Mar 20, 2019 to Feb 20, 2020
  • HQ city · KIRKLAND to BELLEVUE
    Mar 20, 2019 to Feb 20, 2020
  • Discretionary RAUM · $55.8M to $52.5M
    Mar 20, 2019 to Feb 20, 2020
  • HNW RAUM · $55.8M to $71.5M
    Mar 20, 2019 to Feb 20, 2020
  • Individual RAUM · $41.7M to $14.4M
    Mar 20, 2019 to Feb 20, 2020
  • Non-discretionary RAUM · $41.7M to $33.4M
    Mar 20, 2019 to Feb 20, 2020
  • RAUM · $97.5M to $85.9M
    Mar 20, 2019 to Feb 20, 2020
  • Related adviser · false to true
    Mar 20, 2019 to Feb 20, 2020
  • Accounts · 668 to 718
    Jan 17, 2019 to Mar 20, 2019
  • HNW clients · 29 to 25
    Jan 17, 2019 to Mar 20, 2019
  • Individual clients · 105 to 122
    Jan 17, 2019 to Mar 20, 2019
  • Employees · 4 to 6
    Jan 17, 2019 to Mar 20, 2019
  • State-registered IARs · 4 to 3
    Jan 17, 2019 to Mar 20, 2019
  • Discretionary RAUM · $83.2M to $55.8M
    Jan 17, 2019 to Mar 20, 2019
  • HNW RAUM · $79.3M to $55.8M
    Jan 17, 2019 to Mar 20, 2019
  • Individual RAUM · $35.2M to $41.7M
    Jan 17, 2019 to Mar 20, 2019
  • Non-discretionary RAUM · $31.3M to $41.7M
    Jan 17, 2019 to Mar 20, 2019
  • RAUM · $115M to $97.5M
    Jan 17, 2019 to Mar 20, 2019
  • Accounts · 636 to 668
    Mar 6, 2018 to May 15, 2018
  • HNW clients · 27 to 29
    Mar 6, 2018 to May 15, 2018
  • Individual clients · 94 to 105
    Mar 6, 2018 to May 15, 2018
  • Discretionary RAUM · $89.5M to $83.2M
    Mar 6, 2018 to May 15, 2018
  • HNW RAUM · $75.8M to $79.3M
    Mar 6, 2018 to May 15, 2018
  • Individual RAUM · $34.5M to $35.2M
    Mar 6, 2018 to May 15, 2018
  • Non-discretionary RAUM · $20.8M to $31.3M
    Mar 6, 2018 to May 15, 2018
  • RAUM · $110M to $115M
    Mar 6, 2018 to May 15, 2018
  • Business name · V••• I••••••••• to V••• I••••••••• L••
    Feb 27, 2018 to Mar 6, 2018
  • Legal name · V••• I••••••••• to V••• I••••••••• L••
    Feb 27, 2018 to Mar 6, 2018
  • Accounts · 368 to 636
    Jun 20, 2017 to Feb 27, 2018
  • Advisory activities · 3 to 2
    Jun 20, 2017 to Feb 27, 2018
  • HNW clients · unset to 27.0
    Jun 20, 2017 to Feb 27, 2018
  • Individual clients · unset to 94.0
    Jun 20, 2017 to Feb 27, 2018
  • State-registered IARs · 3 to 4
    Jun 20, 2017 to Feb 27, 2018
  • Other offices · unset to 0.0
    Jun 20, 2017 to Feb 27, 2018
  • Discretionary RAUM · $59.1M to $89.5M
    Jun 20, 2017 to Feb 27, 2018
  • HNW RAUM · unset to 75786550.0
    Jun 20, 2017 to Feb 27, 2018
  • Individual RAUM · unset to 34505832.0
    Jun 20, 2017 to Feb 27, 2018
Signals
1 dated events
  • V••• I••••••••• L•• filed its initial SEC registration (Form ADV)
    May 15, 2018 · 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.
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