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•••••• A•••••••

Former SEC-registered adviserDallas, TexasCRD 169113SEC 801-107668IAPD
Legal name V•••• C•••••• A•••••••• L••
Latest filing Sep 1, 2017
First filing on the tape Apr 4, 2016 · 12 filings
RAUM
$672,869
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
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$672,869 as of Sep 1, 2017
Apr 4, 2016$381M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Sep 1, 2017
Apr 4, 20164 then
Employees (5.A)4 as of Sep 1, 2017
Apr 4, 20165 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 2017; every figure names its basis
RAUM per advisor
$224,290derivedRAUM 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
$61,170derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
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
    • D•••••• C•••• G••••• · Managing Member/Ceo/Ccocontrol
      since 03/2016 · owns less than 5%
    • D•••••• C•••• G••••• · Managing Membercontrol
      since 06/2013 · owns 75% or more of P••• M••••••••• L••
    • H•••••• J••••• B••••• · Member
      since 07/2017 · owns 5% to 10%
    Entity owners
    • P••• M••••••••• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • P••••••• F••••••••
      investment advisern
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory employees · 4 to 3
      Jul 24, 2017 to Sep 1, 2017
    • Employees · 5 to 4
      Jul 24, 2017 to Sep 1, 2017
    • State-registered IARs · 4 to 3
      Jul 24, 2017 to Sep 1, 2017
    • Insurance-licensed employees · 0 to 1
      Jun 19, 2017 to Jul 24, 2017
    • Advisory activities · 6 to 2
      Mar 31, 2017 to Jun 19, 2017
    • Financial planning clients · 1-10 to unset
      Mar 31, 2017 to Jun 19, 2017
    • Related adviser · false to true
      Mar 31, 2017 to Jun 19, 2017
    • Accounts · 443 to 11
      Aug 16, 2016 to Mar 31, 2017
    • Discretionary RAUM · $1.0M to $672,869
      Aug 16, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $380M to $0
      Aug 16, 2016 to Mar 31, 2017
    • RAUM · $381M to $672,869
      Aug 16, 2016 to Mar 31, 2017
    • Advisory employees · 3 to 4
      Jun 9, 2016 to Jul 7, 2016
    • Employees · 4 to 5
      Jun 9, 2016 to Jul 7, 2016
    • State-registered IARs · 3 to 4
      Jun 9, 2016 to Jul 7, 2016
    • Advisory employees · 4 to 3
      Apr 6, 2016 to May 31, 2016
    • BD registered reps · 1 to 0
      Apr 6, 2016 to May 31, 2016
    • Employees · 5 to 4
      Apr 6, 2016 to May 31, 2016
    • State-registered IARs · 4 to 3
      Apr 6, 2016 to May 31, 2016
    Signals
    1 dated events
    • V•••• C•••••• A••••••• filed its initial SEC registration (Form ADV)
      Apr 4, 2016 · 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