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Former SEC-registered adviser

V••• G••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 172139SEC 801-80408IAPD
Latest filing Nov 16, 2015
First filing on the tape Sep 24, 2014 · 4 filings
RAUM
$105M
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
3
$159M gross assets
History
4 filings and snapshots on the tape
RAUM$105M as of Nov 16, 2015
Sep 24, 2014$63.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 16, 2015
Sep 24, 20142 then
Employees (5.A)4 as of Nov 16, 2015
Sep 24, 20142 then
Private funds3 as of Nov 16, 2015
Sep 24, 20143 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 16, 2015; 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
unknownderivedHNW RAUM over HNW clients
Average account
$34.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
3reported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••• G•••• F•••• L•••Hedge Fund$59.5M21Sep 24, 2014
      V••• G•••• O••••••• F•••• L•••Hedge Fund$31.6M5Sep 24, 2014
      V••• G•••• P••••••• F•••• L•••Hedge Fund$3.4M6Sep 24, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• T••••••• P•••• · Chief Compliance Officercontrol
        since 08/2015 · owns less than 5%
      • L••••••••• J•••• S• · Managing Membercontrol
        since 03/2009 · owns 75% or more
      Related persons
      Schedule D 7.A
      • V•••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · 110673600.0 to unset
        Apr 2, 2015 to Nov 16, 2015
      • Custody of client assets · true to false
        Apr 2, 2015 to Nov 16, 2015
      • Discretionary RAUM · $111M to $105M
        Apr 2, 2015 to Nov 16, 2015
      • RAUM · $111M to $105M
        Apr 2, 2015 to Nov 16, 2015
      • Advisory employees · 2 to 3
        Oct 14, 2014 to Apr 2, 2015
      • Assets in custody · $63.9M to $111M
        Oct 14, 2014 to Apr 2, 2015
      • State-registered IARs · 2 to 0
        Oct 14, 2014 to Apr 2, 2015
      • Discretionary RAUM · $63.9M to $111M
        Oct 14, 2014 to Apr 2, 2015
      • RAUM · $63.9M to $111M
        Oct 14, 2014 to Apr 2, 2015
      • Employees · 2 to 4
        Sep 24, 2014 to Oct 14, 2014
      Signals
      1 dated events
      • V••• G••••• L•• filed its initial SEC registration (Form ADV)
        Sep 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