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•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 15, 2013 · 23 filings
SEC status approved since Dec 6, 2013
RAUM
$122M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$121M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$122M as of Mar 31, 2026
Mar 28, 2014$156M then
HNW client RAUM$121M as of Mar 31, 2026
Mar 31, 2018$124M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20140 then
Employees (5.A)2 as of Mar 31, 2026
Mar 28, 20142 then
Private funds1 as of Mar 29, 2024
Mar 28, 20141 then
RAUM -14% over the last fiscal year-3.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -14%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 assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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$121M99%
- Corporations and businesses$1.4M1.1%
- Individual clients
- n/areported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 57reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.99 fund_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V• O••••••••• F••• I• L• | Private Equity Fund | $762,043 | 6 | Nov 15, 2013 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• T•••• A••••• · Principal And Chief Compliance Officercontrolsince 11/2013 · owns 50% to 75%
- W•••• T••••••• F•••••••• · Principalcontrolsince 11/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- V• O••••••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Phoenix, AZ1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 150 to 57Oct 29, 2025 to Mar 31, 2026
- HNW clients · 52 to 50Oct 29, 2025 to Mar 31, 2026
- HNW RAUM · $141M to $121MOct 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $143M to $122MOct 29, 2025 to Mar 31, 2026
- RAUM · $143M to $122MOct 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · 1.0 to unsetMar 29, 2024 to Mar 31, 2025
- Accounts · 157 to 150Mar 29, 2024 to Mar 31, 2025
- Advisory activities · 4 to 3Mar 29, 2024 to Mar 31, 2025
- HNW clients · 53 to 52Mar 29, 2024 to Mar 31, 2025
- Assets in custody · 762043.0 to unsetMar 29, 2024 to Mar 31, 2025
- Custody of client assets · true to falseMar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- Private funds · 1 to unsetMar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $762,043 to $0Mar 29, 2024 to Mar 31, 2025
- HNW RAUM · $145M to $141MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $146M to $143MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · 762043.0 to unsetMar 29, 2024 to Mar 31, 2025
- RAUM · $147M to $143MMar 29, 2024 to Mar 31, 2025
- Accounts · 162 to 157Mar 31, 2023 to Mar 29, 2024
- HNW clients · 54 to 53Mar 31, 2023 to Mar 29, 2024
- Assets in custody · $79,138 to $762,043Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $79,138 to $762,043Mar 31, 2023 to Mar 29, 2024
- HNW RAUM · $137M to $145MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $138M to $146MMar 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $79,138 to $762,043Mar 31, 2023 to Mar 29, 2024
- RAUM · $138M to $147MMar 31, 2023 to Mar 29, 2024
- Accounts · 151 to 162May 16, 2022 to Mar 31, 2023
- Corporate clients · 5 to 6May 16, 2022 to Mar 31, 2023
- HNW clients · 50 to 54May 16, 2022 to Mar 31, 2023
- Assets in custody · $278 to $79,138May 16, 2022 to Mar 31, 2023
- Other offices · 0 to 1May 16, 2022 to Mar 31, 2023
- Discretionary RAUM · $334,620 to $79,138May 16, 2022 to Mar 31, 2023
- HNW RAUM · $147M to $137MMay 16, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $149M to $138MMay 16, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $334,620 to $79,138May 16, 2022 to Mar 31, 2023
- RAUM · $149M to $138MMay 16, 2022 to Mar 31, 2023
- Accounts · 161 to 151Apr 30, 2021 to Mar 31, 2022
- HNW clients · 49 to 50Apr 30, 2021 to Mar 31, 2022
- Other offices · 1 to 0Apr 30, 2021 to Mar 31, 2022
- HNW RAUM · $152M to $147MApr 30, 2021 to Mar 31, 2022
Signals
1 dated events
- V•••••••• L•• filed its initial SEC registration (Form ADV)Nov 15, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- V•••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.v•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-989-7200reportedpublic record, Form ADV, Mar 31, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026