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•• F•••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Dec 5, 2017 · 34 filings
SEC status approved since Jan 5, 2018
RAUM
$143M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
78%
$112M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$35.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$143M as of Feb 12, 2026
Feb 21, 2018$43.1M then
HNW client RAUM$97.2M as of Feb 12, 2026
Feb 21, 2018$25.4M then
State-registered IARs (5.B.3)4 as of Feb 12, 2026
Feb 21, 20183 then
Employees (5.A)5 as of Feb 12, 2026
Feb 21, 20184 then
Private funds: no history
RAUM +23% over the last fiscal year+15% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $35.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $385,537derivedHNW RAUM over HNW clients
- Average account
- $346,850derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$97.2M68%
- Corporations and businesses$25.2M18%
- Individuals$14.4M10%
- Pension and profit-sharing plans$5.8M4.0%
- Individual clients
- 133reported
- HNW clients
- 252reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 411reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• S•••••• | Staten Island, Ny | Jan 18, 2017 | 22 y | 2 |
| G••••• C•••• L••• | Staten Island, Ny | Jan 18, 2017 | 22 y | 2 |
| T•••• S••••• | Staten Island, Ny | Aug 24, 2021 | 22 y | 0 |
| J••••• J••• O•••••• | Staten Island, Ny | Aug 30, 2021 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S•••••• T•••• to M••••• S••••••Sep 19, 2023 · RIA to wirehouse
- A••• P••••• to E••••••• L••Aug 28, 2019 · Other
Joined, latest
- D••••• S•••••• from S••••• A••• A•••• M••••••••• I•••Jan 18, 2017 · Other
- G••••• C•••• L••• from S••••• A••• A•••• M••••••••• I•••Jan 18, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• G•••••• C•••• · Managing Membercontrolsince 06/2013 · owns 25% to 50%
- S•••••• T••••• •••• · Managing Member, Chief Compliance Officercontrolsince 07/2019 · owns 25% to 50%
- S••••••• D••••• Z•• · Managing Membercontrolsince 06/2013 · owns 25% to 50%
Related persons
Schedule D 7.A
- L••••••• L••real estatey
- V••••• C•••••• A•••••••• L••investment advisery
- V••••• C•••••• M••••••••• L••pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Staten Island, Ny · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Feb 12, 2026discretionary share of RAUM moved from 13.0% to 51.0% between the annual amendments of 2025-04-04 and 2026-02-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 437 to 411Jan 29, 2026 to Feb 12, 2026
- Corporate clients · 14 to 15Jan 29, 2026 to Feb 12, 2026
- HNW clients · 276 to 252Jan 29, 2026 to Feb 12, 2026
- Individual clients · 136 to 133Jan 29, 2026 to Feb 12, 2026
- Discretionary RAUM · $14.6M to $73.1MJan 29, 2026 to Feb 12, 2026
- HNW RAUM · $86.2M to $97.2MJan 29, 2026 to Feb 12, 2026
- Individual RAUM · $13.2M to $14.4MJan 29, 2026 to Feb 12, 2026
- Non-discretionary RAUM · $101M to $69.5MJan 29, 2026 to Feb 12, 2026
- Pension RAUM · $5.6M to $5.8MJan 29, 2026 to Feb 12, 2026
- RAUM · $116M to $143MJan 29, 2026 to Feb 12, 2026
- Financial planning clients · 0 to 0Apr 4, 2025 to May 19, 2025
- Accounts · 711 to 437Dec 13, 2024 to Apr 4, 2025
- Corporate clients · 42 to 14Dec 13, 2024 to Apr 4, 2025
- HNW clients · 277 to 276Dec 13, 2024 to Apr 4, 2025
- Individual clients · 146 to 136Dec 13, 2024 to Apr 4, 2025
- Pension plan clients · 22 to 11Dec 13, 2024 to Apr 4, 2025
- Discretionary RAUM · $12.6M to $14.6MDec 13, 2024 to Apr 4, 2025
- HNW RAUM · $81.9M to $86.2MDec 13, 2024 to Apr 4, 2025
- Individual RAUM · $14.5M to $13.2MDec 13, 2024 to Apr 4, 2025
- Non-discretionary RAUM · $102M to $101MDec 13, 2024 to Apr 4, 2025
- Pension RAUM · $5.2M to $5.6MDec 13, 2024 to Apr 4, 2025
- RAUM · $115M to $116MDec 13, 2024 to Apr 4, 2025
- Accounts · 402 to 711Jun 13, 2024 to Oct 15, 2024
- Corporate clients · 25 to 42Jun 13, 2024 to Oct 15, 2024
- HNW clients · 350 to 277Jun 13, 2024 to Oct 15, 2024
- Individual clients · 128 to 146Jun 13, 2024 to Oct 15, 2024
- Pension plan clients · 14 to 22Jun 13, 2024 to Oct 15, 2024
- Employees · 4 to 5Jun 13, 2024 to Oct 15, 2024
- Discretionary RAUM · $11.2M to $12.6MJun 13, 2024 to Oct 15, 2024
- HNW RAUM · $77.6M to $81.9MJun 13, 2024 to Oct 15, 2024
- Individual RAUM · $11.4M to $14.5MJun 13, 2024 to Oct 15, 2024
- Non-discretionary RAUM · $88.3M to $102MJun 13, 2024 to Oct 15, 2024
- Pension RAUM · $1.9M to $5.2MJun 13, 2024 to Oct 15, 2024
- RAUM · $99.4M to $115MJun 13, 2024 to Oct 15, 2024
- Accounts · 421 to 402Mar 31, 2023 to Mar 31, 2024
- Corporate clients · 20 to 25Mar 31, 2023 to Mar 31, 2024
- HNW clients · 261 to 350Mar 31, 2023 to Mar 31, 2024
- Individual clients · 126 to 128Mar 31, 2023 to Mar 31, 2024
- Discretionary RAUM · $4.8M to $11.2MMar 31, 2023 to Mar 31, 2024
- HNW RAUM · $72.9M to $77.6MMar 31, 2023 to Mar 31, 2024
Signals
5 dated events
- S•••••• T•••• left V•• F•••••••• L•• for M••••• S•••••• (registered 2023-11-29)Sep 19, 2023 · Advisor changed firm · fact
- [Nmn] T•••• S••••• (Managing Member) appeared on Schedule A of V•• F•••••••• L••Aug 16, 2019 · Control person joined · fact
- [Nmn] A••• P••••• (Managing Member, Chief Investment Officer) no longer on Schedule A of V•• F•••••••• L•• (listed 2019-08-09, absent 2019-08-16)Aug 16, 2019 · Control person left · inference
- [Nmn] T•••• S••••• (Chief Compliance Officer) no longer on Schedule A of V•• F•••••••• L•• (listed 2018-06-14, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- L•• F•••••••• L•• filed its initial SEC registration (Form ADV)Dec 5, 2017 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@vcpfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-328-7876reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-328-7877reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212.328.7876reportedpublic record, Form ADV, Feb 12, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026