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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SEC-registered adviser
V••••••• A••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Jun 10, 2016 · 28 filings
SEC status approved since Jul 15, 2016
RAUM
$1.0B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
34%
$344M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
30
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.0B as of Jul 15, 2026
Mar 27, 2017$398,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Jul 15, 2026
Mar 27, 20170 then
Employees (5.A)30 as of Jul 15, 2026
Mar 27, 201713 then
Private funds: no history
RAUM +140% over the last fiscal year+79% a year over threeIARs 13 to 7
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $128MderivedRAUM 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
- $12,317derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 66%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.8derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +140%derivedbetween the last two annual amendments
- Advisor growth, one year
- -46%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$682M66%
- Individuals$344M34%
- Individual clients
- 81,310reported
- HNW clients
- n/areported
- Pension plan clients
- 2,000reported
- Charitable clients
- n/areported
- Accounts
- 83,310reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.34 fund_share=0.0 institutional_share=0.66 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•• J•••• L••••• | New Y•••, Ny | Jan 27, 2025 | 12 y | 2 |
| M••••• M••• N•••••• | New Y•••, Ny | Jan 27, 2025 | 11 y | 2 |
| C••••••••• G••••• E••••• | New Y•••, Ny | Jan 28, 2025 | 11 y | 2 |
| A••• R••• B••• | Washington, Dc | Jan 30, 2025 | 14 y | 4 |
| S•••••• P•••••• M•••• | Foxboro, Ma | Jan 30, 2025 | 32 y | 4 |
| K••• R•••• | Savoy, Il | Feb 12, 2025 | 24 y | 2 |
| R•••••• W•••••• N••••• | New Y•••, Ny | Feb 12, 2025 | 12 y | 2 |
| L••• M• H••••• | Denver, Co | Jul 20, 2026 | 19 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- M•••••• D•••• S••••••• to I•• W••••• M••••••••• L••Oct 7, 2025 · Other
- S••••• S••••• S••• to A••••••••• L•••May 9, 2023 · Other
Joined, latest
- L••• M• H••••• from M••••• S••••••Jul 20, 2026 · Wirehouse to independent RIA
- M•••••• D•••• S••••••• from C••••••••• I••••••••• A•••••••• L••Oct 8, 2024 · Other
- K••• R•••• from P•••••May 22, 2024 · Other
- A••• R••• B••• from N•••••• G•••• C••••••••• L••Mar 22, 2024 · Other
- S•••••• P•••••• M•••• from E•••••• F•••••••• E••••••May 23, 2023 · Other
- S••••• S••••• S••• from A••••••••• L•••Apr 14, 2023 · Other
- C••••••••• G••••• E••••• from N•• Y••• L••• I••••••••• M••••••••• L••Oct 4, 2022 · Other
- M••••• M••• N•••••• from U•• A•••••••Jul 14, 2022 · Other
- R•••••• W•••••• N••••• from S•••••••• A••••••• L••Jun 17, 2021 · Other
- E•• J•••• L••••• from M••••• S••••••Jan 11, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• A••••••• L•••• · Chief Legal Officercontrolsince 10/2017 · owns less than 5%
- F••••••• J••••••• · Svp Operationscontrolsince 08/2017 · owns less than 5%
- M•••• J••••••• · Svp, Business Operationscontrolsince 01/2021 · owns less than 5%
- M••••••• R••••• · Ctocontrolsince 10/2021 · owns less than 5%
- S•••••• A••••• D•••••• · Ceocontrolsince 04/2016 · owns less than 5%
- S••••• D••••• P••• · Cfocontrolsince 12/2019 · owns less than 5%
- T••••• R•••••• · President, Retirement Servicescontrolsince 12/2020 · owns less than 5%
- S•••••• A••••• D•••••• · Ceo And Ownercontrolsince 02/2016 · owns 25% to 50% of V••••••• H••••••• I•••
- A•••••••• R•••• P•••••• · Svp Productsince 01/2020 · owns less than 5%
- D•••••••• D••••• D• · Chief Strategy Officersince 09/2023 · owns less than 5%
- K••• P•••• · Svp, Head Of Peoplesince 11/2020 · owns less than 5%
Entity owners
- V••••••• H••••••• I••• · Memberdirect · 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 |
|---|---|---|---|---|---|
| New Y•••, Ny · principal | 7 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
8 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 15, 2026institutional share of RAUM of 66% against a peer median of 3% (1362 comparable advisers, 99.0th percentile, 15.9 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 99% percentile
- low discretionary shareStatic outlier · filing Jul 15, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
- institutional to wealth shiftCombination · filing Apr 27, 2026peers: independent wealth managers, $1B to $5B (1,362)
- account count surgeChange between filings · filing Apr 27, 2026accounts (Item 5.F.2.f) moved from 7,946.0 to 83,310.0 (+948.0%) between the annual amendments of 2025-03-31 and 2026-04-27; the peer median change was +6.0% (1206 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,206) · 100% percentile
- RAUM up 50 %Change between filings · filing Apr 27, 2026RAUM (Item 5.F) moved from $427,149,041 to $1,026,092,890 (+140.0%) between the annual amendments of 2025-03-31 and 2026-04-27; the peer median change was +17.0% (1298 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,298) · 99% percentile
- advisor count dropChange between filings · filing Apr 27, 2026advisory representatives (Item 5.B.3) moved from 13.0 to 7.0 (-46.0%) between the annual amendments of 2025-03-31 and 2026-04-27; the peer median change was 0.0% (999 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 1.0% percentile
- client mix shiftChange between filings · filing Apr 27, 2026private-client share of RAUM moved from 4.0% to 34.0% between the annual amendments of 2025-03-31 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
- institutional asset share shiftChange between filings · filing Apr 27, 2026institutional share of RAUM moved from 96.0% to 66.0% between the annual amendments of 2025-03-31 and 2026-04-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Advisory employees · 23 to 30Mar 31, 2026 to Apr 27, 2026
- Employees · 23 to 30Mar 31, 2026 to Apr 27, 2026
- State-registered IARs · 9 to 7Mar 31, 2026 to Apr 27, 2026
- Accounts · 7,946 to 83,310Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 0 to 5Mar 31, 2025 to Mar 31, 2026
- Individual clients · 6,646 to 81,310Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 1,300 to 2,000Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 13 to 9Mar 31, 2025 to Mar 31, 2026
- Individual RAUM · $16.6M to $344MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $427M to $1.0BMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $411M to $682MMar 31, 2025 to Mar 31, 2026
- RAUM · $427M to $1.0BMar 31, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueMar 31, 2025 to Mar 31, 2026
- Accounts · 18,855 to 7,946Jan 22, 2025 to Mar 31, 2025
- Advisory employees · 15 to 23Jan 22, 2025 to Mar 31, 2025
- Individual clients · 3,659 to 6,646Jan 22, 2025 to Mar 31, 2025
- Pension plan clients · 4,385 to 1,300Jan 22, 2025 to Mar 31, 2025
- Employees · 386 to 23Jan 22, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 22, 2025 to Mar 31, 2025
- State-registered IARs · 10 to 13Jan 22, 2025 to Mar 31, 2025
- Discretionary RAUM · $3.9M to $0Jan 22, 2025 to Mar 31, 2025
- Individual RAUM · $3.9M to $16.6MJan 22, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $276M to $427MJan 22, 2025 to Mar 31, 2025
- Pension RAUM · $276M to $411MJan 22, 2025 to Mar 31, 2025
- RAUM · $280M to $427MJan 22, 2025 to Mar 31, 2025
- Accounts · 21,812 to 18,855May 1, 2023 to Mar 26, 2024
- Advisory employees · 13 to 15May 1, 2023 to Mar 26, 2024
- Individual clients · unset to 3659.0May 1, 2023 to Mar 26, 2024
- Pension plan clients · 731 to 4,385May 1, 2023 to Mar 26, 2024
- Employees · 300 to 386May 1, 2023 to Mar 26, 2024
- Financial planning clients · 251-500 to 0May 1, 2023 to Mar 26, 2024
- State-registered IARs · 8 to 10May 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $0 to $3.9MMay 1, 2023 to Mar 26, 2024
- Individual RAUM · unset to 3859293.0May 1, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $179M to $276MMay 1, 2023 to Mar 26, 2024
- Pension RAUM · $179M to $276MMay 1, 2023 to Mar 26, 2024
- RAUM · $179M to $280MMay 1, 2023 to Mar 26, 2024
- Accounts · 6,586 to 21,812May 12, 2022 to Mar 28, 2023
- Advisory employees · 9 to 13May 12, 2022 to Mar 28, 2023
- Pension plan clients · 306 to 731May 12, 2022 to Mar 28, 2023
Signals
14 dated events
- V••••••• A••••••• L•• reported RAUM $1.0B, up 140% from $427.1M (2025-03-31 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- M•••••• D•••• S••••••• left V••••••• A••••••• L•• for I•• W••••• M••••••••• L•• (registered 2025-11-10)Oct 7, 2025 · Advisor changed firm · fact
- V••••••• A••••••• L•• reported RAUM $427.1M, up 53% from $279.5M (2025-01-22 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- V••••••• A••••••• L•• reported RAUM $279.5M, up 56% from $179.0M (2023-05-01 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- S••••• S••••• S••• left V••••••• A••••••• L•• for A••••••••• L••• (registered 2023-06-13)May 9, 2023 · Advisor changed firm · fact
- C B••••••• Thomason (Evp Revenue) no longer on Schedule A of V••••••• A••••••• L•• (listed 2022-05-12, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- Richard Tatum (President, Retirement Services) appeared on Schedule A of V••••••• A••••••• L••Mar 18, 2022 · Control person joined · fact
- Robert Molchon (Cto) appeared on Schedule A of V••••••• A••••••• L••Mar 18, 2022 · Control person joined · fact
- J••••••• M••• (Svp, Business Operations) appeared on Schedule A of V••••••• A••••••• L••Mar 18, 2022 · Control person joined · fact
- Joe Pampel (Chief Information Security Officer) no longer on Schedule A of V••••••• A••••••• L•• (listed 2021-03-17, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- A•••• Y••• (Svp M•••eting) no longer on Schedule A of V••••••• A••••••• L•• (listed 2021-03-17, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- J John Skovron (Cto) no longer on Schedule A of V••••••• A••••••• L•• (listed 2021-03-17, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- Louise Pamela Rockley (Cco) no longer on Schedule A of V••••••• A••••••• L•• (listed 2020-03-20, absent 2020-06-02)Jun 2, 2020 · Control person left · inference
- V••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/VESTWELL-ADVISORSreportedpublic record, Form ADV, Sep 19, 2026
- Website
- VESTWELL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-979-5358reportedpublic record, Form ADV, Jul 15, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026