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••••• I••••••••• A•••••••• L••

Former SEC-registered adviserAlpharetta, GeorgiaCRD 171004SEC 801-80534IAPD
Latest filing Apr 6, 2023
First filing on the tape Jun 6, 2014 · 39 filings
RAUM
$6.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
8.0%
$537M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$6.7B as of Mar 31, 2023
Mar 27, 2015$481M then
HNW client RAUM$431M as of Mar 31, 2023
Mar 30, 2018$63.7M then
State-registered IARs (5.B.3)2 as of Mar 31, 2023
Mar 27, 20150 then
Employees (5.A)14 as of Mar 31, 2023
Mar 27, 20157 then
Private funds: no history
RAUM -35% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 6, 2023; every figure names its basis
RAUM per advisor
$3.3BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
179derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$13.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
0.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
-35%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+228%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
  • Investment companies$5.2B78%
  • Pooled investment vehicles$852M13%
  • High-net-worth individuals$431M6.5%
  • Individuals$106M1.6%
  • Charitable organizations$102M1.5%
Individual clients
184reported
HNW clients
174reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
481reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • N••••••••• A•••••• N•• · Presidentcontrol
    since 10/2020 · owns less than 5%
  • O••••• E•••• K••• · Chief Compliance Officercontrol
    since 07/2021 · owns less than 5%
  • B•••• M•••••••• I••••••• · Trusteecontrol
    since 09/2018 · owns F of V••••• I••••••••• O•••••••• T••••
  • B•••••• V••••• L•••••• · Trusteecontrol
    since 08/2013 · owns F of V••••• I••••••••• O•••••••• T••••
  • C•••• W•••••• B•••• · Trusteecontrol
    since 12/2022 · owns F of V••••• I••••••••• O•••••••• T••••
Entity owners
  • V••••• F••••••••• L•• · Member
    direct · owns 75% or more
  • V••••• I••••••••• O•••••••• T•••• · Member
    indirect · owns 75% or more of V••••• F••••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 185 to 481
    Dec 16, 2022 to Mar 31, 2023
  • Advisory activities · 3 to 4
    Dec 16, 2022 to Mar 31, 2023
  • BD registered reps · 1 to 2
    Dec 16, 2022 to Mar 31, 2023
  • Charity clients · unset to 7.0
    Dec 16, 2022 to Mar 31, 2023
  • HNW clients · 52 to 174
    Dec 16, 2022 to Mar 31, 2023
  • Individual clients · 57 to 184
    Dec 16, 2022 to Mar 31, 2023
  • Pooled vehicle clients · 24 to 26
    Dec 16, 2022 to Mar 31, 2023
  • Employees · 12 to 14
    Dec 16, 2022 to Mar 31, 2023
  • Discretionary RAUM · $10B to $6.7B
    Dec 16, 2022 to Mar 31, 2023
  • HNW RAUM · $129M to $431M
    Dec 16, 2022 to Mar 31, 2023
  • Individual RAUM · $27.0M to $106M
    Dec 16, 2022 to Mar 31, 2023
  • Pooled vehicle RAUM · $846M to $852M
    Dec 16, 2022 to Mar 31, 2023
  • RAUM · $10B to $6.7B
    Dec 16, 2022 to Mar 31, 2023
  • Accounts · 148 to 185
    Sep 1, 2021 to Mar 31, 2022
  • Advisory employees · 4 to 6
    Sep 1, 2021 to Mar 31, 2022
  • HNW clients · 103 to 52
    Sep 1, 2021 to Mar 31, 2022
  • Individual clients · unset to 57.0
    Sep 1, 2021 to Mar 31, 2022
  • Pooled vehicle clients · 9 to 24
    Sep 1, 2021 to Mar 31, 2022
  • Employees · 8 to 12
    Sep 1, 2021 to Mar 31, 2022
  • Insurance-licensed employees · 0 to 1
    Sep 1, 2021 to Mar 31, 2022
  • State-registered IARs · 1 to 2
    Sep 1, 2021 to Mar 31, 2022
  • Other offices · 0 to 4
    Sep 1, 2021 to Mar 31, 2022
  • Discretionary RAUM · $6.9B to $10B
    Sep 1, 2021 to Mar 31, 2022
  • HNW RAUM · $115M to $129M
    Sep 1, 2021 to Mar 31, 2022
  • Individual RAUM · unset to 26988518.0
    Sep 1, 2021 to Mar 31, 2022
  • Pooled vehicle RAUM · $302M to $846M
    Sep 1, 2021 to Mar 31, 2022
  • RAUM · $6.9B to $10B
    Sep 1, 2021 to Mar 31, 2022
  • BD registered reps · 2 to 1
    Mar 26, 2021 to May 21, 2021
  • Employees · 10 to 8
    Mar 26, 2021 to May 21, 2021
  • Insurance-licensed employees · 1 to 0
    Mar 26, 2021 to May 21, 2021
  • State-registered IARs · 2 to 1
    Mar 26, 2021 to May 21, 2021
  • Accounts · 134 to 148
    Feb 22, 2021 to Mar 26, 2021
  • Charity clients · 5.0 to unset
    Feb 22, 2021 to Mar 26, 2021
  • HNW clients · 85 to 103
    Feb 22, 2021 to Mar 26, 2021
  • Individual clients · 9.0 to unset
    Feb 22, 2021 to Mar 26, 2021
  • Pooled vehicle clients · 4 to 9
    Feb 22, 2021 to Mar 26, 2021
  • Employees · 7 to 10
    Feb 22, 2021 to Mar 26, 2021
  • Insurance-licensed employees · 0 to 1
    Feb 22, 2021 to Mar 26, 2021
  • State-registered IARs · 1 to 2
    Feb 22, 2021 to Mar 26, 2021
  • Discretionary RAUM · $4.3B to $6.9B
    Feb 22, 2021 to Mar 26, 2021
Signals
23 dated events
  • W•••••• J•••• I•••••• left V••••• I••••••••• A•••••••• L•• for V••••• A•••• M••••••••• (registered 2023-07-25)
    Aug 14, 2023 · Advisor changed firm · fact
  • D•••• E••• F••••••• left V••••• I••••••••• A•••••••• L•• for V••••• A•••• M••••••••• (registered 2023-07-26)
    Jul 24, 2023 · Advisor changed firm · fact
  • Russell Robert Ayan no longer registered at V••••• I••••••••• A•••••••• L••; no later IA registration on IAPD
    Jul 24, 2023 · Advisor departure · fact
  • V••••• I••••••••• A•••••••• L•• reported RAUM $6.7B, down 35% from $10.2B (2022-12-16 to 2023-03-31)
    Mar 31, 2023 · RAUM change · derived
  • Baker Warren Crow (Trustee) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Dec 16, 2022 · Control person joined · fact
  • Lowell Brian Shepler (Trustee) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2022-03-31, absent 2022-12-16)
    Dec 16, 2022 · Control person left · inference
  • V••••• I••••••••• A•••••••• L•• reported RAUM $10.2B, up 49% from $6.9B (2021-09-01 to 2022-03-31)
    Mar 31, 2022 · RAUM change · derived
  • Karl Erik Olsen (Chief Compliance Officer) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Aug 25, 2021 · Control person joined · fact
  • Marie Karen Donnelly (Chief Compliance Officer) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2021-05-21, absent 2021-08-25)
    Aug 25, 2021 · Control person left · inference
  • Marie Karen Donnelly (Chief Compliance Officer) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    May 21, 2021 · Control person joined · fact
  • B Matthew Carney (Chief Compliance Officer) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2021-03-26, absent 2021-05-21)
    May 21, 2021 · Control person left · inference
  • V••••• I••••••••• A•••••••• L•• reported RAUM $6.9B, up 60% from $4.3B (2021-02-22 to 2021-03-26)
    Mar 26, 2021 · RAUM change · derived
  • Jon Cory Gossard (Chief Compliance Officer) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2020-10-09, absent 2021-01-15)
    Jan 15, 2021 · Control person left · inference
  • B Matthew Carney (Chief Compliance Officer) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Jan 15, 2021 · Control person joined · fact
  • Amrita Nandakumar (President) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Oct 9, 2020 · Control person joined · fact
  • Marie Denise Krisko (President) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2020-06-26, absent 2020-07-06)
    Jul 6, 2020 · Control person left · inference
  • Christine Anne Czizek (Chief Compliance Officer) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2020-03-12, absent 2020-04-03)
    Apr 3, 2020 · Control person left · inference
  • Jon Cory Gossard (Chief Compliance Officer) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Apr 3, 2020 · Control person joined · fact
  • Kay Deborah Kimery (Executive Committee Member) no longer on Schedule A of V••••• I••••••••• A•••••••• L•• (listed 2019-03-31, absent 2019-08-16)
    Aug 16, 2019 · Control person left · inference
  • Lowell Brian Shepler (Trustee) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Jan 23, 2019 · Control person joined · fact
  • Immanuel Mohammad Baki (Trustee) appeared on Schedule A of V••••• I••••••••• A•••••••• L••
    Jan 23, 2019 · Control person joined · fact
  • V••••• I••••••••• A•••••••• L•• reported RAUM $4.9B, up 134% from $2.1B (2017-10-04 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
  • V••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 24, 2014 · 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