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

Vanguard Capital

Former SEC-registered adviserCRD 22081SEC 801-71971IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$79.9M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$79.9M as of Mar 30, 2016
Mar 30, 2012$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)7 as of Mar 30, 2016
Mar 28, 201311 then
Private funds: no history
RAUM +5.1% over the last fiscal year-12% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$26.6MderivedRAUM 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
$245,774derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
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
325reported
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
Joined, latest
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
    • Gregory Serras · Corporate Secretarycontrol
      since 02/2005 · owns 75% or more
    • Christopher Allen Hanson · Chief Compliance Officer
      since 05/2012 · owns less than 5%
    • Vincent Mark Polivka · Crop Designate,Muni Princp,Trade Desk Mgr
      since 02/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Irvine, CA
    What changed
    consecutive filings, newest first
    • Accounts · 311 to 325
      Jun 12, 2015 to Mar 30, 2016
    • Advisory activities · 2 to 1
      Jun 12, 2015 to Mar 30, 2016
    • BD registered reps · 5 to 7
      Jun 12, 2015 to Mar 30, 2016
    • Employees · 5 to 7
      Jun 12, 2015 to Mar 30, 2016
    • State-registered IARs · 0 to 3
      Jun 12, 2015 to Mar 30, 2016
    • Discretionary RAUM · $76.0M to $79.9M
      Jun 12, 2015 to Mar 30, 2016
    • RAUM · $76.0M to $79.9M
      Jun 12, 2015 to Mar 30, 2016
    • Discretionary RAUM · $55.0M to $76.0M
      Jun 26, 2014 to Mar 31, 2015
    • RAUM · $55.0M to $76.0M
      Jun 26, 2014 to Mar 31, 2015
    • Accounts · 200 to 311
      Jun 26, 2014 to Mar 31, 2015
    • Advisory activities · 3 to 2
      Jun 26, 2014 to Mar 31, 2015
    • HQ city · DEL MAR to unset
      May 28, 2014 to Jun 26, 2014
    • HQ state · CA to unset
      May 28, 2014 to Jun 26, 2014
    • HQ city · SAN DIEGO to DEL MAR
      Apr 23, 2014 to May 28, 2014
    • Accounts · 292 to 200
      Sep 19, 2013 to Apr 23, 2014
    • Advisory employees · 6 to 3
      Sep 19, 2013 to Apr 23, 2014
    • Advisory activities · 4 to 3
      Sep 19, 2013 to Apr 23, 2014
    • BD registered reps · 10 to 5
      Sep 19, 2013 to Apr 23, 2014
    • Employees · 11 to 5
      Sep 19, 2013 to Apr 23, 2014
    • State-registered IARs · 6 to 0
      Sep 19, 2013 to Apr 23, 2014
    • Discretionary RAUM · $60.0M to $55.0M
      Sep 19, 2013 to Apr 23, 2014
    • Non-discretionary RAUM · $56.0M to $0
      Sep 19, 2013 to Apr 23, 2014
    • RAUM · $116M to $55.0M
      Sep 19, 2013 to Apr 23, 2014
    • Advisory employees · 5 to 6
      Mar 28, 2013 to Apr 8, 2013
    • State-registered IARs · 5 to 6
      Mar 28, 2013 to Apr 8, 2013
    • Accounts · 130 to 292
      Mar 31, 2012 to Mar 28, 2013
    • Advisory employees · unset to 5.0
      Mar 31, 2012 to Mar 28, 2013
    • BD registered reps · unset to 10.0
      Mar 31, 2012 to Mar 28, 2013
    • Employees · unset to 11.0
      Mar 31, 2012 to Mar 28, 2013
    • HQ city · SOLANA BEACH to SAN DIEGO
      Mar 31, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 5
      Mar 31, 2012 to Mar 28, 2013
    • Discretionary RAUM · $56.0M to $60.0M
      Mar 31, 2012 to Mar 28, 2013
    • Non-discretionary RAUM · $58.0M to $56.0M
      Mar 31, 2012 to Mar 28, 2013
    • RAUM · $114M to $116M
      Mar 31, 2012 to Mar 28, 2013
    Signals
    No event on the tape.
    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