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.

Former SEC-registered adviser

Newfound Investments, LLC

Former SEC-registered adviserHartford, ConnecticutCRD 165574SEC 801-77272IAPD
Latest filing May 7, 2015
First filing on the tape Oct 12, 2012 · 7 filings
RAUM
$6.0M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$6.0M as of Mar 31, 2015
Mar 28, 2013$3.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 28, 20130 then
Employees (5.A)3 as of Mar 31, 2015
Mar 28, 20133 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 7, 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
$2.0MderivedRAUM 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
+34%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 assetsreportedItem 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
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • Aaron Michael Angerthal · Manager & Executive Vice President And Treasurercontrol
        since 10/2012 · owns less than 5%
      • Robert George Aylward · Manager & President & Chairmancontrol
        since 10/2012 · owns less than 5%
      • Stephen Mark Flynn · Executive Vice President, General Counsel And Assistant Secretarycontrol
        since 10/2012 · owns less than 5%
      • I (Mi Only) Yvonne Pytlik · Corporate Head Of Compliancecontrol
        since 06/2013 · owns less than 5%
      • Brian Thomas Rosedale · Managercontrol
        since 10/2012 · owns less than 5%
      • George Francis Waltman · Executive Vice Presidentcontrol
        since 10/2012 · owns less than 5%
      • Brian Thomas Rosedale · Membercontrol
        since 08/2008 · owns 50% to 75% of Newfound Research LLC
      • John Kevin Carr · Senior Vice President And Secretary
        since 10/2012 · owns less than 5%
      • Elliot David Fusco · Vice President, Compliance
        since 10/2012 · owns less than 5%
      • George David Hanley · Vice President And Assistant Treasurer
        since 10/2012 · owns less than 5%
      • Michael Corey Hoffstein · Chief Investment Officer
        since 10/2012 · owns less than 5%
      • Robert James Sena · Vice President And Chief Compliance Officer
        since 04/2015 · owns less than 5%
      Entity owners
      • Newfound Research LLC · Member
        direct · owns 25% to 50%
      • Virtus Partners, Inc. · Member
        direct · owns 50% to 75%
      • Newfound Holdings LLC · Member
        indirect · owns 50% to 75% of Newfound Research LLC
      • Virtus Investment Partners, Inc. · Shareholder
        indirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $4.5M to $6.0M
        Feb 26, 2015 to Mar 31, 2015
      • RAUM · $4.5M to $6.0M
        Feb 26, 2015 to Mar 31, 2015
      • Related bank · false to true
        Nov 10, 2014 to Feb 26, 2015
      • Discretionary RAUM · $3.0M to $4.5M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $3.0M to $4.5M
        Mar 28, 2013 to Mar 28, 2014
      • Accounts · 0 to 3
        Oct 12, 2012 to Mar 28, 2013
      • Advisory employees · unset to 2.0
        Oct 12, 2012 to Mar 28, 2013
      • BD registered reps · unset to 1.0
        Oct 12, 2012 to Mar 28, 2013
      • Business name · VP ADVISERS, LLC to NEWFOUND INVESTMENTS, LLC
        Oct 12, 2012 to Mar 28, 2013
      • Employees · unset to 3.0
        Oct 12, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Oct 12, 2012 to Mar 28, 2013
      • Legal name · VP ADVISERS, LLC to NEWFOUND INVESTMENTS, LLC
        Oct 12, 2012 to Mar 28, 2013
      • Discretionary RAUM · $0 to $3.0M
        Oct 12, 2012 to Mar 28, 2013
      • RAUM · $0 to $3.0M
        Oct 12, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • Vp Advisers, Llc filed its initial SEC registration (Form ADV)
        Oct 12, 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