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•• P•••••••• B•• A•••••• I•• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 160422SEC 801-76817IAPD
Latest filing Jun 14, 2013
First filing on the tape Jan 24, 2012 · 15 filings
RAUM
$13.1M
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
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$13.1M as of Jun 14, 2013
Jan 24, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 14, 2013
Nov 1, 20122 then
Employees (5.A)4 as of Jun 14, 2013
Nov 1, 20125 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 14, 2013; every figure names its basis
RAUM per advisor
$6.5MderivedRAUM 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
$13.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• G•••••••• S•••• · Chief Executive Officercontrol
        since 01/2012 · owns less than 5%
      • S•••• B•••••• B• · Investment Committee Membercontrol
        since 08/2012 · owns less than 5%
      • S•••• S••••••• F••••••••• · Investment Committee Membercontrol
        since 01/2012 · owns less than 5%
      • C••••••••• G•••••••• S•••• · Managing Membercontrol
        since 04/2009 · owns 25% to 50% of V•• P•••• C•••••• L••
      • K••••• V••••• N•• · Managing Partnercontrol
        since 09/2011 · owns 75% or more of K•• C•••••• P•••••••• I•••
      • S•••• S••••••• F••••••••• · Managing Membercontrol
        since 08/2009 · owns 25% to 50% of V•• P•••• C•••••• L••
      • M••••••••• G•••• E••••• · Chief Compliance Officer
        since 03/2013 · owns less than 5%
      Entity owners
      • V•• P••••••••• L•• · Managing Member
        direct · owns 75% or more
      • K•• C•••••• A•••••••• L•• · Managing Member
        indirect · owns 50% to 75% of V•• P••••••••• L••
      • K•• C•••••• P•••••••• I••• · Managing Member
        indirect · owns 75% or more of K•• C•••••• A•••••••• L••
      • V•• P•••• C•••••• L•• · Managing Member
        indirect · owns 50% to 75% of V•• P••••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $7.1M to $13.1M
        Feb 27, 2013 to Apr 1, 2013
      • RAUM · $7.1M to $13.1M
        Feb 27, 2013 to Apr 1, 2013
      • Discretionary RAUM · $5.6M to $7.1M
        Jan 2, 2013 to Feb 13, 2013
      • RAUM · $5.6M to $7.1M
        Jan 2, 2013 to Feb 13, 2013
      • Accounts · unset to 1.0
        Nov 1, 2012 to Jan 2, 2013
      • Advisory employees · 2 to 3
        Nov 1, 2012 to Jan 2, 2013
      • Employees · 5 to 4
        Nov 1, 2012 to Jan 2, 2013
      • Discretionary RAUM · unset to 5614530.0
        Nov 1, 2012 to Jan 2, 2013
      • Non-discretionary RAUM · unset to 0.0
        Nov 1, 2012 to Jan 2, 2013
      • RAUM · unset to 5614530.0
        Nov 1, 2012 to Jan 2, 2013
      • Advisory employees · unset to 2.0
        Sep 28, 2012 to Nov 1, 2012
      • BD registered reps · unset to 2.0
        Sep 28, 2012 to Nov 1, 2012
      • Employees · unset to 5.0
        Sep 28, 2012 to Nov 1, 2012
      • State-registered IARs · unset to 2.0
        Sep 28, 2012 to Nov 1, 2012
      • Accounts · 0.0 to unset
        Jun 12, 2012 to Jun 13, 2012
      • Discretionary RAUM · 0.0 to unset
        Jun 12, 2012 to Jun 13, 2012
      • Non-discretionary RAUM · 0.0 to unset
        Jun 12, 2012 to Jun 13, 2012
      • RAUM · 0.0 to unset
        Jun 12, 2012 to Jun 13, 2012
      • Related adviser · false to true
        Mar 9, 2012 to Jun 12, 2012
      Signals
      1 dated events
      • V•• P•••••••• B•• A•••••• I•• L•• filed its initial SEC registration (Form ADV)
        Jun 13, 2012 · 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