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•••

Former SEC-registered adviserNew York, New YorkCRD 163774SEC 801-77701IAPD
Latest filing May 24, 2021
First filing on the tape Feb 27, 2013 · 13 filings
RAUM
$183M
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
0
beyond the principal office
Private funds
1
$183M gross assets
History
13 filings and snapshots on the tape
RAUM$183M as of Mar 30, 2021
Mar 21, 2014$204M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 21, 20140 then
Employees (5.A)4 as of Mar 30, 2021
Mar 21, 20144 then
Private funds1 as of Mar 30, 2021
Mar 21, 20141 then
RAUM +0.7% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 24, 2021; 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
$183MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.7%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
$183M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$183M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$183M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V•••• I•••••• P•••••••• L•••Hedge Fund$117M34Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • R••••• R•••••• · Managercontrol
        since 12/2007 · owns less than 5%
      • A••••••• A•••••• S•••• · Membercontrol
        since 07/2004 · owns 50% to 75% of A•••••• P••••••• L••
      • A•••••••• K•••• T••••• · Membercontrol
        since 12/2007 · owns 75% or more of A•••• A•• A••••••• L••
      • R••••• R•••••• · Trustee Of R•••••• R•••• R•••••••• T••••control
        since 12/2007 · owns 25% to 50% of R•••••• R•••• R•••••••• T••••
      • F••••• L•••••• R•••• · Chief Operating Officer
        since 05/2008 · owns 5% to 10%
      • G•••••••• W••••••• B•••• · Limited Partner
        since 12/2007 · owns 5% to 10%
      • R•••••• D••••• A••••• · Chief Financial Officer / Chief Compliance Officer
        since 05/2008 · owns 5% to 10%
      • L•••••• J•••••• D•••••• · Trustee Of M•••••• Trust U•••• P•••••••• A Of A•••••• F•••• Of B••••• R•••• R•••••••• Trust
        since 01/2020 · owns 25% to 50% of M•••••• T•••• U•••• P•••••••• A• O• A•••••• F•••• O• B••••• R•••• R•• T••••
      • R••••• R•••••• · Trustee Of M•••••• Trust U•••• P•••••••• A Of A•••••• F•••• Of B••••• R•••• R•••••••• Trust
        since 01/2020 · owns 25% to 50% of M•••••• T•••• U•••• P•••••••• A• O• A•••••• F•••• O• B••••• R•••• R•• T••••
      Entity owners
      • R•••• C•••••• M••••••••• L•• · General Partner
        direct · owns 50% to 75%
      • R•••••• R•••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of R•••• C•••••• M••••••••• L••
      • A•••• A•• A••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      • A•••••• P••••••• L•• · Limited Partner
        direct · owns 5% to 10%
      • M•••••• T•••• U•••• P•••••••• A• O• A•••••• F•••• O• B••••• R•••• R•• T•••• · Member
        indirect · owns 25% to 50% of R•••• C•••••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • R•••• C•••••• M••••••••• L••
        pooled vehicle sponsory
      • V•• G• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $181M to $183M
        Mar 2, 2020 to Mar 30, 2021
      • Discretionary RAUM · $181M to $183M
        Mar 2, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $181M to $183M
        Mar 2, 2020 to Mar 30, 2021
      • RAUM · $181M to $183M
        Mar 2, 2020 to Mar 30, 2021
      • Assets in custody · $162M to $181M
        Mar 20, 2019 to Mar 2, 2020
      • Discretionary RAUM · $162M to $181M
        Mar 20, 2019 to Mar 2, 2020
      • Pooled vehicle RAUM · $162M to $181M
        Mar 20, 2019 to Mar 2, 2020
      • RAUM · $162M to $181M
        Mar 20, 2019 to Mar 2, 2020
      • Assets in custody · $176M to $162M
        Mar 26, 2018 to Mar 20, 2019
      • Discretionary RAUM · $176M to $162M
        Mar 26, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $176M to $162M
        Mar 26, 2018 to Mar 20, 2019
      • RAUM · $176M to $162M
        Mar 26, 2018 to Mar 20, 2019
      • Charity clients · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • HNW clients · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Individual clients · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 28, 2017 to Mar 26, 2018
      • Assets in custody · $158M to $176M
        Mar 28, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 28, 2017 to Mar 26, 2018
      • Discretionary RAUM · $158M to $176M
        Mar 28, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 176238578.0
        Mar 28, 2017 to Mar 26, 2018
      • RAUM · $158M to $176M
        Mar 28, 2017 to Mar 26, 2018
      • Assets in custody · $193M to $158M
        Mar 29, 2016 to Mar 28, 2017
      • Discretionary RAUM · $193M to $158M
        Mar 29, 2016 to Mar 28, 2017
      • RAUM · $193M to $158M
        Mar 29, 2016 to Mar 28, 2017
      • Assets in custody · $206M to $193M
        Mar 20, 2015 to Mar 29, 2016
      • Discretionary RAUM · $206M to $193M
        Mar 20, 2015 to Mar 29, 2016
      • RAUM · $206M to $193M
        Mar 20, 2015 to Mar 29, 2016
      • Assets in custody · $204M to $206M
        Mar 21, 2014 to Mar 20, 2015
      • Discretionary RAUM · $204M to $206M
        Mar 21, 2014 to Mar 20, 2015
      • RAUM · $204M to $206M
        Mar 21, 2014 to Mar 20, 2015
      • Assets in custody · $165M to $204M
        Mar 15, 2013 to Mar 21, 2014
      • Discretionary RAUM · $165M to $204M
        Mar 15, 2013 to Mar 21, 2014
      • RAUM · $165M to $204M
        Mar 15, 2013 to Mar 21, 2014
      • Related adviser · false to true
        Mar 15, 2013 to Mar 21, 2014
      • Advisory employees · 4 to 3
        Feb 27, 2013 to Mar 15, 2013
      • Assets in custody · unset to 164680701.0
        Feb 27, 2013 to Mar 15, 2013
      • Custody of client assets · false to true
        Feb 27, 2013 to Mar 15, 2013
      • Financial planning clients · 0 to unset
        Feb 27, 2013 to Mar 15, 2013
      Signals
      1 dated events
      • V•• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
        Feb 27, 2013 · 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