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.

Former SEC-registered adviser

Via Global Advisors LLC

Former SEC-registered adviserBrookline, MassachusettsCRD 171399SEC 801-107294IAPD
Latest filing Jun 30, 2020
First filing on the tape Feb 11, 2016 · 8 filings
RAUM
$436M
reported, Item 5.F
Discretionary
47%
of RAUM
Private clients
89%
$388M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$436M as of Mar 27, 2020
Mar 27, 2017$327M then
HNW client RAUM$378M as of Mar 27, 2020
Mar 30, 2018$363M then
State-registered IARs (5.B.3)3 as of Mar 27, 2020
Mar 27, 20172 then
Employees (5.A)5 as of Mar 27, 2020
Mar 27, 20174 then
Private funds: no history
RAUM +30% over the last fiscal year+10.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
6derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$34.4MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
47%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+30%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-30%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody
$46.2M, 14 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$378M87%
  • Charitable organizations$47.7M11%
  • Individuals$9.9M2.3%
Individual clients
8reported
HNW clients
11reported
Pension plan clients
0reported
Charitable clients
12reported
Accounts
341reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$46.2M for 14 clientsreported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Rector Kimberly Clouse · Founder, Ceocontrol
    since 03/2013 · owns 75% or more
  • Alan Harvey Slaughter · Chief Compliance Officer
    since 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 360 to 341
    Dec 16, 2019 to Mar 27, 2020
  • Advisory activities · 5 to 4
    Dec 16, 2019 to Mar 27, 2020
  • Charity clients · 2 to 12
    Dec 16, 2019 to Mar 27, 2020
  • HNW clients · 16 to 11
    Dec 16, 2019 to Mar 27, 2020
  • Individual clients · 11 to 8
    Dec 16, 2019 to Mar 27, 2020
  • Assets in custody · $1.0M to $46.2M
    Dec 16, 2019 to Mar 27, 2020
  • Discretionary RAUM · $108M to $206M
    Dec 16, 2019 to Mar 27, 2020
  • HNW RAUM · $286M to $378M
    Dec 16, 2019 to Mar 27, 2020
  • Individual RAUM · $7.6M to $9.9M
    Dec 16, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $228M to $229M
    Dec 16, 2019 to Mar 27, 2020
  • RAUM · $336M to $436M
    Dec 16, 2019 to Mar 27, 2020
  • Accounts · 31 to 360
    Mar 30, 2018 to Mar 31, 2019
  • Advisory employees · 2 to 3
    Mar 30, 2018 to Mar 31, 2019
  • Charity clients · 12 to 2
    Mar 30, 2018 to Mar 31, 2019
  • Individual clients · 3 to 11
    Mar 30, 2018 to Mar 31, 2019
  • Assets in custody · unset to 1000000.0
    Mar 30, 2018 to Mar 31, 2019
  • Custody of client assets · false to true
    Mar 30, 2018 to Mar 31, 2019
  • Employees · 4 to 5
    Mar 30, 2018 to Mar 31, 2019
  • State-registered IARs · 2 to 3
    Mar 30, 2018 to Mar 31, 2019
  • Discretionary RAUM · $67.9M to $108M
    Mar 30, 2018 to Mar 31, 2019
  • HNW RAUM · $363M to $286M
    Mar 30, 2018 to Mar 31, 2019
  • Individual RAUM · $1.6M to $7.6M
    Mar 30, 2018 to Mar 31, 2019
  • Non-discretionary RAUM · $404M to $228M
    Mar 30, 2018 to Mar 31, 2019
  • RAUM · $472M to $336M
    Mar 30, 2018 to Mar 31, 2019
  • Accounts · 19 to 31
    Nov 14, 2017 to Mar 30, 2018
  • Charity clients · 0 to 12
    Nov 14, 2017 to Mar 30, 2018
  • HNW clients · 19 to 16
    Nov 14, 2017 to Mar 30, 2018
  • Individual clients · 0 to 3
    Nov 14, 2017 to Mar 30, 2018
  • Financial planning clients · 11-25 to 26-50
    Nov 14, 2017 to Mar 30, 2018
  • Other offices · 1 to 0
    Nov 14, 2017 to Mar 30, 2018
  • Discretionary RAUM · $49.0M to $67.9M
    Nov 14, 2017 to Mar 30, 2018
  • HNW RAUM · $327M to $363M
    Nov 14, 2017 to Mar 30, 2018
  • Individual RAUM · $0 to $1.6M
    Nov 14, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $278M to $404M
    Nov 14, 2017 to Mar 30, 2018
  • RAUM · $327M to $472M
    Nov 14, 2017 to Mar 30, 2018
  • Charity clients · unset to 0.0
    Mar 27, 2017 to Nov 14, 2017
  • Corporate clients · unset to 0.0
    Mar 27, 2017 to Nov 14, 2017
  • HNW clients · unset to 19.0
    Mar 27, 2017 to Nov 14, 2017
  • Individual clients · unset to 0.0
    Mar 27, 2017 to Nov 14, 2017
  • Pension plan clients · unset to 0.0
    Mar 27, 2017 to Nov 14, 2017
Signals
3 dated events
  • Via Global Advisors Llc reported RAUM $336.0M, down 29% from $471.9M (2018-03-30 to 2019-03-31)
    Mar 31, 2019 · RAUM change · derived
  • Via Global Advisors Llc reported RAUM $471.9M, up 44% from $327.5M (2017-11-14 to 2018-03-30)
    Mar 30, 2018 · RAUM change · derived
  • Via Global Advisors Llc filed its initial SEC registration (Form ADV)
    Feb 11, 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