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•••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Sep 4, 2013 · 3 filings
RAUM
$351M
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$255M gross assets
History
3 filings and snapshots on the tape
RAUM$351M as of Mar 31, 2015
Mar 31, 2014$218M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 31, 20140 then
Employees (5.A)3 as of Mar 31, 2015
Mar 31, 20143 then
Private funds6 as of Mar 31, 2015
Mar 31, 20146 then
RAUM +61% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
- $58.5MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%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 pooled vehiclesreportedItem 5.G
- Custody
- $351M, 6 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)
- an independent public accountant performs a surprise examination (9.C.1)
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
- 6reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $351M for 6 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••••• A••••••• O•••••••• L•no longer reported | Private Equity Fund | $70.6M | 2 | Sep 4, 2013 |
| V•••••• A••••••• I•• L• | Private Equity Fund | $49.0M | 24 | Sep 4, 2013 |
| V•••••• A••••• P•••••••• L••• | Private Equity Fund | $30.4M | 89 | Mar 21, 2012 |
| V•••••• A•••••• L•••no longer reported | Private Equity Fund | $21.0M | 52 | Mar 21, 2012 |
| V•••••• P•••••••• L• | Private Equity Fund | $10.6M | 94 | Mar 21, 2012 |
| V•••••• R••• L••• | Private Equity Fund | $6.8M | 11 | Mar 26, 2013 |
| V•••••• O••••••••• P•••••••• L••• | Hedge Fund | $5.0M | 12 | Mar 26, 2013 |
| V•••••• A••••••• I• L• | Private Equity Fund | $3.1M | 2 | Sep 4, 2013 |
Owners and control persons
Schedule A and B, latest filing
- K•••• B•••• · Manager, Membercontrolsince 04/2010 · owns 5% to 10%
- L•••••••• A•••••• M• · Managercontrolsince 04/2010 · owns less than 5%
- N••••• J•••••• R•••••• · Chief Compliance Officercontrolsince 04/2010 · owns less than 5%
- K•••• B•••• · Membercontrolsince 12/1999 · owns 75% or more of K••• C•••••• M••••••••• L••
Entity owners
- K••• C•••••• M••••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- V•••••• A••••• P••••••• G•• L••pooled vehicle sponsory
- V•••••• A••••••• G•• L••pooled vehicle sponsory
- V•••••• O••••••••• P••••••• G•• L••pooled vehicle sponsory
- V•••••• P••••••• G•• L••pooled vehicle sponsory
- V•••••• R•• H•••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Milton, MA
What changed
consecutive filings, newest first
- Assets in custody · $218M to $351MMar 31, 2014 to Mar 31, 2015
- Discretionary RAUM · $218M to $351MMar 31, 2014 to Mar 31, 2015
- RAUM · $218M to $351MMar 31, 2014 to Mar 31, 2015
- Accounts · 8 to 6Sep 4, 2013 to Mar 31, 2014
- Advisory activities · 2 to 1Sep 4, 2013 to Mar 31, 2014
- Assets in custody · $300M to $218MSep 4, 2013 to Mar 31, 2014
- Private funds · 16 to 6Sep 4, 2013 to Mar 31, 2014
- Discretionary RAUM · $300M to $218MSep 4, 2013 to Mar 31, 2014
- RAUM · $300M to $218MSep 4, 2013 to Mar 31, 2014
Signals
1 dated events
- V•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 4, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- V•••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
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