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Former SEC-registered adviser

V••••••• F•••••••• I••••••••• C••••

Former SEC-registered adviserNorton, VirginiaCRD 167066SEC 801-78030IAPD
Latest filing Jan 7, 2015
First filing on the tape May 1, 2013 · 8 filings
RAUM
$10,000
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$10,000 as of Jan 7, 2015
May 1, 2013$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 7, 2015
May 1, 20131 then
Employees (5.A)2 as of Jan 7, 2015
May 1, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 7, 2015; every figure names its basis
RAUM per advisor
$10,000derivedRAUM 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
$10,000derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companies, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.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
1reported
Financial planning clients
0reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• J•••• C•••••• · Vice President, Ccocontrol
    since 01/2013 · owns less than 5%
  • S•••••••• G•••• R••• · Presidentcontrol
    since 01/2013 · owns 10% to 25%
  • A•••••• R••••• R•• · Owner
    since 11/2007 · owns less than 5%
  • A•••••• T••••• A•• · Owner
    since 11/2007 · owns less than 5%
  • B••••• R•••• P••• · Owner
    since 07/2008 · owns less than 5%
  • B••••••• E••••• W•••• · Owner
    since 08/2009 · owns less than 5%
  • B••••••• P••• E••••• · Owner
    since 08/2009 · owns less than 5%
  • F••••••• L•••• L•••• · Owner
    since 07/2009 · owns less than 5%
  • G••••••• R•••••• B••••• · Owner
    since 02/2011 · owns 10% to 25%
  • G•••• J••• L•• · Owner
    since 07/2011 · owns less than 5%
  • G•••••• P•••••• · Owner
    since 06/2009 · owns less than 5%
  • H•••• G••• L••• · Owner
    since 11/2008 · owns less than 5%
  • H••••• D•••••• N••• · Owner
    since 11/2007 · owns less than 5%
  • K••••••• D••••• L••••••• · Owner
    since 12/2008 · owns less than 5%
  • M••••••••• L•••• J•• · Owner
    since 01/2009 · owns 5% to 10%
  • P•••••• C•••• L••••• · Owner
    since 07/2008 · owns less than 5%
  • P•••••• L••• F•• · Owner
    since 07/2008 · owns less than 5%
  • P•••••• L••••• R•••••• · Owner
    since 11/2008 · owns less than 5%
  • P•••••• D••••• K•••••• · Owner
    since 04/2009 · owns less than 5%
  • P•••••• M•••••• J•••• · Owner
    since 06/2011 · owns less than 5%
  • S•••••••• R••••••• H•••••• · Owner
    since 06/2007 · owns less than 5%
  • S•••••••• L•••• D••• · Owner
    since 05/2009 · owns less than 5%
  • W•••••• D•••• E••••• · Owner
    since 04/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 1
    Nov 27, 2013 to Apr 1, 2014
  • Non-discretionary RAUM · $0 to $10,000
    Nov 27, 2013 to Apr 1, 2014
  • RAUM · $0 to $10,000
    Nov 27, 2013 to Apr 1, 2014
  • Advisory activities · 1 to 2
    Jun 7, 2013 to Oct 10, 2013
Signals
1 dated events
  • V••••••• F•••••••• I••••••••• C•••• filed its initial SEC registration (Form ADV)
    May 1, 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