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••• S••••• W••••• M••••••••• L••

Former SEC-registered adviserMill Valley, CaliforniaCRD 170748SEC 801-111877IAPD
Latest filing Apr 28, 2019
First filing on the tape Sep 18, 2017 · 11 filings
RAUM
$135M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$132M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
11 filings and snapshots on the tape
RAUM$135M as of Mar 28, 2019
Jun 8, 2018$108M then
HNW client RAUM$121M as of Mar 28, 2019
Jun 8, 2018$94.9M then
State-registered IARs (5.B.3)4 as of Mar 28, 2019
Jun 8, 20183 then
Employees (5.A)5 as of Mar 28, 2019
Jun 8, 20184 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Apr 28, 2019; every figure names its basis
RAUM per advisor
$33.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
11derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.8MderivedHNW RAUM over HNW clients
Average account
$855,647derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
2.5%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
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
+13%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$121M90%
  • Individuals$10.7M7.9%
  • Pension and profit-sharing plans$3.3M2.5%
Individual clients
24reported
HNW clients
21reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
158reported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K••••••• A•••••••• · Managing Director/Co-Chief Investment Officercontrol
      since 10/2016 · owns 25% to 50%
    • L••• C•••••••• Y••• · Managing Director/Chief Operating Officercontrol
      since 10/2017 · owns 5% to 10%
    • P••••• Z••••••• W••••• · Managing Director/Co-Chief Investment Officer/Chief Compliance Officercontrol
      since 02/2014 · owns 25% to 50%
    • B•••••••• J•••• C•••• · Managing Membercontrol
      since 05/2017 · owns 25% to 50% of V••• S••••• H•••••••• L••
    • K••••••• A•••••••• · Managing Membercontrol
      since 05/2017 · owns 25% to 50% of V••• S••••• H•••••••• L••
    • P••••• Z••••••• W••••• · Managing Membercontrol
      since 05/2017 · owns 25% to 50% of V••• S••••• H•••••••• L••
    • B•••••••• J•••• C•••• · Partner
      since 05/2014 · owns 10% to 25%
    Entity owners
    • V••• S••••• H•••••••• L•• · Member
      direct · owns 25% to 50%
    Related persons
    Schedule D 7.A
    Advisers that list V••• S••••• W••••• M••••••••• L•• as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 111 to 158
      Jun 8, 2018 to Mar 28, 2019
    • Advisory employees · 3 to 4
      Jun 8, 2018 to Mar 28, 2019
    • HNW clients · 16 to 21
      Jun 8, 2018 to Mar 28, 2019
    • Employees · 4 to 5
      Jun 8, 2018 to Mar 28, 2019
    • Financial planning clients · 11-25 to 0
      Jun 8, 2018 to Mar 28, 2019
    • State-registered IARs · 3 to 4
      Jun 8, 2018 to Mar 28, 2019
    • Discretionary RAUM · $102M to $128M
      Jun 8, 2018 to Mar 28, 2019
    • HNW RAUM · $94.9M to $121M
      Jun 8, 2018 to Mar 28, 2019
    • Individual RAUM · $10.2M to $10.7M
      Jun 8, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $5.5M to $7.1M
      Jun 8, 2018 to Mar 28, 2019
    • Pension RAUM · $2.9M to $3.3M
      Jun 8, 2018 to Mar 28, 2019
    • RAUM · $108M to $135M
      Jun 8, 2018 to Mar 28, 2019
    • Accounts · 121 to 111
      Dec 6, 2017 to Jun 8, 2018
    • Advisory employees · 4 to 3
      Dec 6, 2017 to Jun 8, 2018
    • Advisory activities · 4 to 6
      Dec 6, 2017 to Jun 8, 2018
    • Charity clients · unset to 0.0
      Dec 6, 2017 to Jun 8, 2018
    • Corporate clients · unset to 0.0
      Dec 6, 2017 to Jun 8, 2018
    • HNW clients · unset to 16.0
      Dec 6, 2017 to Jun 8, 2018
    • Individual clients · unset to 24.0
      Dec 6, 2017 to Jun 8, 2018
    • Pension plan clients · unset to 2.0
      Dec 6, 2017 to Jun 8, 2018
    • Pooled vehicle clients · unset to 0.0
      Dec 6, 2017 to Jun 8, 2018
    • Employees · 5 to 4
      Dec 6, 2017 to Jun 8, 2018
    • Insurance-licensed employees · 4 to 2
      Dec 6, 2017 to Jun 8, 2018
    • Financial planning clients · 1-10 to 11-25
      Dec 6, 2017 to Jun 8, 2018
    • State-registered IARs · 4 to 3
      Dec 6, 2017 to Jun 8, 2018
    • Discretionary RAUM · $102M to $102M
      Dec 6, 2017 to Jun 8, 2018
    • HNW RAUM · unset to 94852647.0
      Dec 6, 2017 to Jun 8, 2018
    • Individual RAUM · unset to 10164325.0
      Dec 6, 2017 to Jun 8, 2018
    • Non-discretionary RAUM · $0 to $5.5M
      Dec 6, 2017 to Jun 8, 2018
    • Pension RAUM · unset to 2932394.0
      Dec 6, 2017 to Jun 8, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Dec 6, 2017 to Jun 8, 2018
    • RAUM · $102M to $108M
      Dec 6, 2017 to Jun 8, 2018
    • Insurance-licensed employees · 0 to 4
      Dec 5, 2017 to Dec 6, 2017
    • Advisory employees · 3 to 4
      Sep 19, 2017 to Nov 28, 2017
    • Employees · 3 to 5
      Sep 19, 2017 to Nov 28, 2017
    • State-registered IARs · 3 to 4
      Sep 19, 2017 to Nov 28, 2017
    • Other offices · unset to 0.0
      Sep 19, 2017 to Nov 28, 2017
    Signals
    1 dated events
    • V••• S••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 18, 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.
    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