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
A•••••••• W••••• A•••••••
Legal name T••••••••• V••••• J•••
Latest filing May 20, 2024
First filing on the tape Jun 6, 2023 · 6 filings
SEC status approved since Jul 6, 2023
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$136M as of May 20, 2024
Jun 6, 2023$107M then
HNW client RAUM$26.8M as of May 20, 2024
Jun 6, 2023$20.1M then
State-registered IARs (5.B.3)4 as of May 20, 2024
Jun 6, 20234 then
Employees (5.A)6 as of May 20, 2024
Jun 6, 20236 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 20, 2024; every figure names its basis
- RAUM per advisor
- $34.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $634,651derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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
- Individuals$110M80%
- High-net-worth individuals$26.8M20%
- Individual clients
- 207reported
- HNW clients
- 8reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 215reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• D•••••• P••••••• to L•• F•••••••• L••May 30, 2025 · RIA to affiliated broker-dealer or bank
- M••••• K•••••• G••••• to L•• F•••••••• L••May 30, 2025 · RIA to affiliated broker-dealer or bank
- V••••• J••• T•••••••• to L•• F•••••••• L••May 30, 2025 · RIA to affiliated broker-dealer or bank
- C•••••• P•••••• P••••••••• to L•• F•••••••• L••May 30, 2025 · RIA to affiliated broker-dealer or bank
- B•••• W••••• W••••• to M•••••• A•••••• N••••••May 19, 2022 · RIA to RIA
Joined, latest
- C•••••• P•••••• P••••••••• from F•••• A••••• A••••••• S•••••••• I•••Dec 12, 2017 · Other
- D••••• D•••••• P••••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 28, 2017 · Other
- B•••• W••••• W••••• from C•••••••• G••••• M•••••• I•••Jun 21, 2017 · Other
- M••••• K•••••• G••••• from F•••• A••••• A••••••• S•••••••• I•••Oct 5, 2015 · Other
- V••••• J••• T•••••••• from F•••• A••••• A••••••• S•••••••• I•••Oct 5, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for L•• F•••••••• L••May 30, 2025 · Alamo, Ca · Firm absorbed
- 2 joined from F•••• A••••• A••••••• S•••••••• I•••Apr 2, 2015 · Alamo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••••••• V•••••• J••• · President & Founding Partner & Ccocontrolsince 08/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Alamo, Ca · principal | 0 | 0 | 0 | ||
| Corrales, Nm | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boise, ID1 employees
- Boise, ID1 employees
- Corrales, NM1 employees
What changed
consecutive filings, newest first
- Accounts · 203 to 215Aug 8, 2023 to May 20, 2024
- HNW clients · 9 to 8Aug 8, 2023 to May 20, 2024
- Individual clients · 194 to 207Aug 8, 2023 to May 20, 2024
- Discretionary RAUM · $107M to $136MAug 8, 2023 to May 20, 2024
- HNW RAUM · $20.1M to $26.8MAug 8, 2023 to May 20, 2024
- Individual RAUM · $86.8M to $110MAug 8, 2023 to May 20, 2024
- RAUM · $107M to $136MAug 8, 2023 to May 20, 2024
- Other offices · 2 to 3Jul 13, 2023 to Jul 17, 2023
Signals
8 dated events
- A•••••••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $136.4M)Jun 2, 2025 · Left the SEC roster · derived
- V••••• J••• T•••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-21)May 30, 2025 · a•••••• firm change · fact
- C•••••• P•••••• P••••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-06-04)May 30, 2025 · a•••••• firm change · fact
- D••••• D•••••• P••••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-21)May 30, 2025 · a•••••• firm change · fact
- M••••• K•••••• G••••• left A•••••••• W••••• A••••••• for L•• F•••••••• L•• (registered 2025-05-21)May 30, 2025 · a•••••• firm change · fact
- A•••••••• W••••• A•••••••'s advisors moved to L•• F•••••••• L•• (Alamo, CA): 3 of 4 registered, on the same dayMay 30, 2025 · Firm absorbed (people side) · derived
- A•••••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Jun 6, 2023 · ria f•••• adv filing · fact
- B•••• W••••• W••••• left A•••••••• W••••• A••••••• for M•••••• A•••••• N•••••• (registered 2022-05-26)May 19, 2022 · a•••••• firm change · 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