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Former SEC-registered adviser

V••••• I••••••••• A••••••• L•••

Former SEC-registered adviserCRD 284521SEC 801-108080IAPD
Latest filing Mar 11, 2021
First filing on the tape Jun 29, 2016 · 11 filings
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$207M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$281M as of Mar 11, 2021
Mar 2, 2017$497M then
HNW client RAUM$207M as of Mar 11, 2021
Mar 2, 2018$461M then
State-registered IARs (5.B.3)0 as of Mar 11, 2021
Mar 2, 20170 then
Employees (5.A)0 as of Mar 11, 2021
Mar 2, 20172 then
Private funds: 1
RAUM -25% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 11, 2021; 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
$104MderivedHNW RAUM over HNW clients
Average account
$70.2MderivedRAUM 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
-25%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 individuals, portfolio management for pooled vehicles, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$207M99%
  • Pooled investment vehicles$2.1M1.0%
Individual clients
n/areported
HNW clients
2reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••• S••••• F••• L•no longer reportedHedge Fund$356M7Oct 27, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• J•••• K•••••• · Chief Compliance Officercontrol
        since 06/2016 · owns less than 5%
      • H••••••• S•••••• D•••• · Limited Partnercontrol
        since 06/2016 · owns 75% or more
      • H••••••• S•••••• D•••• · Managing Partnercontrol
        since 03/2003 · owns 75% or more of V••••• C•••••• M••••••••• L••
      Entity owners
      • V••••• C•••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $375M to $281M
        Jun 26, 2020 to Mar 11, 2021
      • HNW RAUM · $281M to $207M
        Jun 26, 2020 to Mar 11, 2021
      • Pooled vehicle RAUM · $2.7M to $2.1M
        Jun 26, 2020 to Mar 11, 2021
      • RAUM · $375M to $281M
        Jun 26, 2020 to Mar 11, 2021
      • Advisory employees · 1 to 0
        Mar 11, 2019 to Feb 10, 2020
      • Employees · 1 to 0
        Mar 11, 2019 to Feb 10, 2020
      • HQ city · MIAMI to unset
        Mar 11, 2019 to Feb 10, 2020
      • HQ state · FL to unset
        Mar 11, 2019 to Feb 10, 2020
      • Discretionary RAUM · $192M to $375M
        Mar 11, 2019 to Feb 10, 2020
      • HNW RAUM · $142M to $281M
        Mar 11, 2019 to Feb 10, 2020
      • Pooled vehicle RAUM · $1.4M to $2.7M
        Mar 11, 2019 to Feb 10, 2020
      • RAUM · $192M to $375M
        Mar 11, 2019 to Feb 10, 2020
      • Accounts · 5 to 4
        Mar 2, 2018 to Mar 11, 2019
      • HNW clients · 3 to 2
        Mar 2, 2018 to Mar 11, 2019
      • Discretionary RAUM · $554M to $192M
        Mar 2, 2018 to Mar 11, 2019
      • HNW RAUM · $461M to $142M
        Mar 2, 2018 to Mar 11, 2019
      • Pooled vehicle RAUM · $2.9M to $1.4M
        Mar 2, 2018 to Mar 11, 2019
      • RAUM · $554M to $192M
        Mar 2, 2018 to Mar 11, 2019
      • Employees · 2 to 1
        Nov 2, 2017 to Mar 2, 2018
      • Discretionary RAUM · $552M to $554M
        Nov 2, 2017 to Mar 2, 2018
      • HNW RAUM · $453M to $461M
        Nov 2, 2017 to Mar 2, 2018
      • Pooled vehicle RAUM · $3.1M to $2.9M
        Nov 2, 2017 to Mar 2, 2018
      • RAUM · $552M to $554M
        Nov 2, 2017 to Mar 2, 2018
      • Accounts · 4 to 5
        Apr 28, 2017 to Nov 2, 2017
      • HNW clients · unset to 3.0
        Apr 28, 2017 to Nov 2, 2017
      • Pooled vehicle clients · unset to 1.0
        Apr 28, 2017 to Nov 2, 2017
      • Assets in custody · 355960908.0 to unset
        Apr 28, 2017 to Nov 2, 2017
      • Custody of client assets · true to false
        Apr 28, 2017 to Nov 2, 2017
      • Other offices · unset to 0.0
        Apr 28, 2017 to Nov 2, 2017
      • Private funds · 1 to unset
        Apr 28, 2017 to Nov 2, 2017
      • Discretionary RAUM · $497M to $552M
        Apr 28, 2017 to Nov 2, 2017
      • HNW RAUM · unset to 453304089.0
        Apr 28, 2017 to Nov 2, 2017
      • Pooled vehicle RAUM · unset to 3124982.0
        Apr 28, 2017 to Nov 2, 2017
      • RAUM · $497M to $552M
        Apr 28, 2017 to Nov 2, 2017
      • Assets in custody · $255M to $356M
        Oct 27, 2016 to Mar 2, 2017
      • Discretionary RAUM · $358M to $497M
        Oct 27, 2016 to Mar 2, 2017
      • RAUM · $358M to $497M
        Oct 27, 2016 to Mar 2, 2017
      • Accounts · 0 to 4
        Jun 29, 2016 to Oct 27, 2016
      • Advisory activities · 2 to 3
        Jun 29, 2016 to Oct 27, 2016
      • Assets in custody · unset to 254543026.0
        Jun 29, 2016 to Oct 27, 2016
      Signals
      3 dated events
      • V••••• I••••••••• A••••••• L••• reported RAUM $374.9M, up 95% from $191.9M (2019-03-11 to 2020-02-10)
        Feb 10, 2020 · RAUM change · derived
      • V••••• I••••••••• A••••••• L••• reported RAUM $191.9M, down 65% from $554.3M (2018-03-02 to 2019-03-11)
        Mar 11, 2019 · RAUM change · derived
      • V••••• I••••••••• A••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 29, 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.
      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