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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SEC-registered adviser
V••••••• C•••••• L••
Latest filing Jun 17, 2026
First filing on the tape May 3, 2013 · 26 filings
SEC status approved since May 30, 2013
RAUM
$471M
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
11
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$471M as of Jun 17, 2026
Mar 31, 2014$348M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 17, 2026
Mar 31, 20140 then
Employees (5.A)6 as of Jun 17, 2026
Mar 31, 20147 then
Private funds11 as of Jun 17, 2026
Mar 31, 20144 then
RAUM +7.1% over the last fiscal year+10.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $471MderivedRAUM 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
- $36.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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
- $471M, 13 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$471M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $471M for 13 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••••••• A•••••••• M••••• I••••••••• L••• | Private Equity Fund | $115M | 2 | May 3, 2013 |
| V••••••• F••• I••••••••• L•••no longer reported | Private Equity Fund | $101M | 2 | May 3, 2013 |
| V••••••• A••••••••• F•••• L• | Venture Capital Fund | $55.5M | 36 | Mar 26, 2019 |
| V••••••• S••••••••• L••• | Private Equity Fund | $50.0M | 1 | Mar 31, 2015 |
| V••••••• S••••• P••••••• L••• | Private Equity Fund | $40.4M | 2 | Mar 31, 2014 |
| V••••••• H•• I•• L• | Private Equity Fund | $34.0M | 11 | Mar 30, 2020 |
| V••••••• V••••••• F••• I•• L• | Venture Capital Fund | $30.6M | 9 | Mar 26, 2023 |
| V••••••• H•• I••• L• | Private Equity Fund | $20.5M | 10 | Mar 28, 2024 |
| V••••••• R•• S••••• L•• | Private Equity Fund | $18.5M | 14 | Mar 30, 2022 |
| V••••••• H•• W•••••••• L•no longer reported | Private Equity Fund | $10.5M | 9 | Mar 27, 2017 |
| V•••••• S••••• P••••••• O••••••• L••• | Private Equity Fund | $10.0M | 1 | Mar 31, 2014 |
| V••••••• D••••• W•••••••• L••no longer reported | Private Equity Fund | $8.4M | 20 | Mar 27, 2017 |
| V••••••• M••••• S••• L•• | Private Equity Fund | $3.1M | 8 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• S•••• F•••••• · Managing Member / Principal / Chief Compliance Officercontrolsince 07/2008 · owns 75% or more
- Q•••••• A•••• G•••• · Principalcontrolsince 07/2008 · owns less than 5%
Related persons
Schedule D 7.A
- V••••••• C•••••• G•• L••investment adviserpooled vehicle sponsornRAUM $14.4M
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 13Jun 17, 2025 to Mar 24, 2026
- Pooled vehicle clients · 12 to 13Jun 17, 2025 to Mar 24, 2026
- Assets in custody · $439M to $471MJun 17, 2025 to Mar 24, 2026
- Private funds · 10 to 11Jun 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $439M to $471MJun 17, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $439M to $471MJun 17, 2025 to Mar 24, 2026
- RAUM · $439M to $471MJun 17, 2025 to Mar 24, 2026
- Financial planning clients · unset to May 7, 2025 to Jun 17, 2025
- Assets in custody · $378M to $439MJun 18, 2024 to Mar 26, 2025
- Discretionary RAUM · $378M to $439MJun 18, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $378M to $439MJun 18, 2024 to Mar 26, 2025
- RAUM · $378M to $439MJun 18, 2024 to Mar 26, 2025
- Accounts · 10 to 12Aug 29, 2023 to Mar 28, 2024
- Pooled vehicle clients · 10 to 12Aug 29, 2023 to Mar 28, 2024
- Assets in custody · $354M to $378MAug 29, 2023 to Mar 28, 2024
- Employees · 7 to 6Aug 29, 2023 to Mar 28, 2024
- Private funds · 8 to 10Aug 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $354M to $378MAug 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $354M to $378MAug 29, 2023 to Mar 28, 2024
- RAUM · $354M to $378MAug 29, 2023 to Mar 28, 2024
- Assets in custody · $334M to $354MDec 22, 2022 to Mar 26, 2023
- Discretionary RAUM · $334M to $354MDec 22, 2022 to Mar 26, 2023
- Pooled vehicle RAUM · $334M to $354MDec 22, 2022 to Mar 26, 2023
- RAUM · $334M to $354MDec 22, 2022 to Mar 26, 2023
- Accounts · 11 to 10Nov 9, 2021 to Mar 30, 2022
- Advisory employees · 3 to 4Nov 9, 2021 to Mar 30, 2022
- Pooled vehicle clients · 11 to 10Nov 9, 2021 to Mar 30, 2022
- Assets in custody · $382M to $334MNov 9, 2021 to Mar 30, 2022
- Discretionary RAUM · $382M to $334MNov 9, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $382M to $334MNov 9, 2021 to Mar 30, 2022
- RAUM · $382M to $334MNov 9, 2021 to Mar 30, 2022
- Other offices · 0 to 1Mar 31, 2021 to Nov 9, 2021
- Assets in custody · $377M to $382MMar 30, 2020 to Mar 31, 2021
- Discretionary RAUM · $377M to $382MMar 30, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $377M to $382MMar 30, 2020 to Mar 31, 2021
- RAUM · $377M to $382MMar 30, 2020 to Mar 31, 2021
- Accounts · 10 to 11Mar 26, 2019 to Mar 30, 2020
- Pooled vehicle clients · 10 to 11Mar 26, 2019 to Mar 30, 2020
- Assets in custody · $358M to $377MMar 26, 2019 to Mar 30, 2020
- Private funds · 7 to 8Mar 26, 2019 to Mar 30, 2020
Signals
1 dated events
- V••••••• C•••••• L•• filed its initial SEC registration (Form ADV)May 3, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- V••••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- V••••••• C•••••• L•• · Private Equityshared crd · organization
- V••••••• C•••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (212) 231-3930reportedpublic record, Form ADV, Jun 17, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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