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•••• A•••• M••••••••• L•

Former SEC-registered adviserTampa, FloridaCRD 160953SEC 801-73665IAPD
Latest filing Mar 28, 2013
First filing on the tape Feb 14, 2012 · 10 filings
RAUM
$9.5B
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
44
25 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$9.5B gross assets
History
10 filings and snapshots on the tape
RAUM$9.5B as of Mar 28, 2013
Feb 14, 2012$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Nov 15, 20120 then
Employees (5.A)44 as of Mar 28, 2013
Nov 15, 201240 then
Private funds3 as of Mar 28, 2013
Feb 14, 201212 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2013; 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
$3.2BderivedRAUM 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
unknownderived3 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 pooled vehiclesreportedItem 5.G
Custody
$6.0B, 3 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
  • 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)
  • 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
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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$6.0B for 3 clientsreported
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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••• O••••••• F•••• L•••Hedge Fund$5.7B139Feb 14, 2012
      V•••• F•••• L•••Hedge Fund$3.7B125Feb 14, 2012
      V•••• P•••••••• L•••Hedge Fund$61.2M39Feb 14, 2012
      D• G••••• O••••••• F•••• L•••Hedge Fund$00Feb 14, 2012
      D• G••••• P•••••••• L•••Hedge Fund$00Feb 14, 2012
      J• H•••••••• O••••••• F•••• L•••Hedge Fund$00Feb 14, 2012
      M•• P•••••••• L•••Hedge Fund$00Feb 14, 2012
      M•• I• P•••••••• L•••Hedge Fund$00Feb 14, 2012
      M•• O••••••• F•••• L•••Hedge Fund$00Feb 14, 2012
      J• H•••••••• P•••••••• L•••Hedge Fund$00Feb 14, 2012
      D• J•••• P•••••••• L•••Hedge Fund$00Feb 14, 2012
      D• J•••• O••••••• F•••• L•••Hedge Fund$00Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• G•••••• J•••• · Managing Member And Presidentcontrol
        since 03/2012 · owns less than 5%
      • G•••••• M••••••• S• · Managing Membercontrol
        since 09/1996 · owns 10% to 25%
      • H••••••••• M•••• D• · Managing Member And General Counselcontrol
        since 09/1996 · owns 5% to 10%
      • I•••• D••••• B••••••• · Managing Membercontrol
        since 07/2012 · owns 5% to 10%
      • V••••• J••••••• N• · Senior Managing Member, Chairman And Chief Investment Officercontrol
        since 09/1996 · owns 50% to 75%
      • V••••• J••••••• N• · Managing Membercontrol
        since 09/1996 · owns 50% to 75% of V•••• A•••• M••••••••• L••••.
      • A••• B•••••••• E• · Chief Compliance Officer And Regulatory Counsel
        since 08/2011 · owns less than 5%
      • H••••• T••••• · Chief Financial Officer
        since 10/2012 · owns less than 5%
      • S•••••••• S••••••••• W•••••• · Chief Operating Officer
        since 01/2001 · owns less than 5%
      Entity owners
      • V•••• A•••• M••••••••• L•••• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • V•• P•••••••• L•••••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      • Los Angeles, CA
      What changed
      consecutive filings, newest first
      • Advisory employees · 23 to 25
        Nov 15, 2012 to Mar 28, 2013
      • Assets in custody · $6.8B to $6.0B
        Nov 15, 2012 to Mar 28, 2013
      • Employees · 40 to 44
        Nov 15, 2012 to Mar 28, 2013
      • HQ city · BOSTON to TAMPA
        Nov 15, 2012 to Mar 28, 2013
      • HQ state · MA to FL
        Nov 15, 2012 to Mar 28, 2013
      • Discretionary RAUM · $6.7B to $9.5B
        Nov 15, 2012 to Mar 28, 2013
      • RAUM · $6.7B to $9.5B
        Nov 15, 2012 to Mar 28, 2013
      • Advisory employees · unset to 23.0
        Aug 29, 2012 to Nov 15, 2012
      • BD registered reps · unset to 0.0
        Aug 29, 2012 to Nov 15, 2012
      • Employees · unset to 40.0
        Aug 29, 2012 to Nov 15, 2012
      • State-registered IARs · unset to 0.0
        Aug 29, 2012 to Nov 15, 2012
      • Private funds · 3 to 7
        Jul 17, 2012 to Aug 29, 2012
      • Private funds · 7 to 12
        Aug 29, 2012 to Aug 29, 2012
      • Private funds · 12 to 3
        Aug 29, 2012 to Aug 29, 2012
      • Accounts · 12 to 3
        Apr 12, 2012 to Jul 17, 2012
      • Assets in custody · $8.9B to $6.8B
        Apr 12, 2012 to Jul 17, 2012
      • Private funds · 12 to 3
        Apr 12, 2012 to Jul 17, 2012
      • Discretionary RAUM · $8.9B to $6.8B
        Apr 12, 2012 to Jul 17, 2012
      • RAUM · $8.9B to $6.8B
        Apr 12, 2012 to Jul 17, 2012
      • Discretionary RAUM · $6.8B to $6.7B
        Jul 17, 2012 to Jul 17, 2012
      • RAUM · $6.8B to $6.7B
        Jul 17, 2012 to Jul 17, 2012
      Signals
      No event on the tape.
      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