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••• C•••••• A•••••••• L••

Former SEC-registered adviserBoston, MassachusettsCRD 179513SEC 801-110362IAPD
Latest filing Aug 7, 2019
First filing on the tape Mar 31, 2017 · 6 filings
RAUM
$168M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$168M gross assets
History
6 filings and snapshots on the tape
RAUM$168M as of Mar 26, 2019
Mar 28, 2018$188M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 28, 20180 then
Employees (5.A)1 as of Mar 26, 2019
Mar 28, 20181 then
Private funds4 as of Mar 26, 2019
Mar 28, 20184 then
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 7, 2019; 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
$42.0MderivedRAUM 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
-11%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$168M, 4 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$168M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$168M for 4 clientsreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••• S•••••• O••••••••• F••• I•• L•Hedge Fund$76.0M2May 18, 2015
      V••• O••••••••• F••• L• • S••••• O••Hedge Fund$59.8M9May 18, 2015
      V••• S•••••• O••••••••• F••• I••• L•Hedge Fund$14.7M3May 18, 2015
      V••••• S•••••• O••••••••• F••• I•• L•no longer reportedHedge Fund$9.4M1May 18, 2015
      V••• O••••••••• F••• L• • S••••• T••Hedge Fund$8.7M2Aug 2, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• E•••• B•••••• · Managing Member, Chief Compliance Officercontrol
        since 04/2014 · owns 75% or more
      Related persons
      Schedule D 7.A
      • V••• G•• L••
        pooled vehicle sponsorn
      • V••• S•••••• O••••••••• G• I•• L••
        pooled vehicle sponsorn
      • V••• S•••••• O••••••••• G• I••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HQ city · NEW YORK to BOSTON
        Apr 25, 2019 to Aug 7, 2019
      • HQ state · NY to MA
        Apr 25, 2019 to Aug 7, 2019
      • Assets in custody · $188M to $168M
        Mar 28, 2018 to Mar 26, 2019
      • Discretionary RAUM · $188M to $168M
        Mar 28, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $188M to $168M
        Mar 28, 2018 to Mar 26, 2019
      • RAUM · $188M to $168M
        Mar 28, 2018 to Mar 26, 2019
      • Pooled vehicle clients · unset to 4.0
        Apr 19, 2017 to Mar 28, 2018
      • Assets in custody · $173M to $188M
        Apr 19, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Apr 19, 2017 to Mar 28, 2018
      • Discretionary RAUM · $173M to $188M
        Apr 19, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 188173580.0
        Apr 19, 2017 to Mar 28, 2018
      • RAUM · $173M to $188M
        Apr 19, 2017 to Mar 28, 2018
      • Related adviser · true to false
        Apr 19, 2017 to Mar 28, 2018
      • Assets in custody · unset to 173073291.0
        Mar 31, 2017 to Apr 19, 2017
      • Custody of client assets · false to true
        Mar 31, 2017 to Apr 19, 2017
      • Private funds · 8 to 4
        Mar 31, 2017 to Apr 19, 2017
      • Related adviser · false to true
        Mar 31, 2017 to Apr 19, 2017
      Signals
      1 dated events
      • V••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 31, 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