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.
SEC-registered adviser
Vanguard Capital
Legal name Vanguard Capital Wealth Advisors, LLC
Latest filing Sep 1, 2026
First filing on the tape Sep 12, 2016 · 21 filings
SEC status approved since Oct 27, 2016
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$190M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$38.1M
derived; firm RAUM over IAPD count
Employees
5
0 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$190M as of Mar 23, 2026
Mar 30, 2017$116M then
HNW client RAUM$144M as of Mar 23, 2026
Mar 25, 2018$74.8M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 30, 20174 then
Employees (5.A)5 as of Mar 23, 2026
Mar 30, 20175 then
Private funds: no history
RAUM +11% over the last fiscal year+7.6% a year over threeIARs 4 to 4offices 2 to 3
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $38.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $459,920derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$144M76%
- Individuals$46.5M24%
- Individual clients
- 147reported
- HNW clients
- 52reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 414reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Julia Clare Youngblood | Denver, Co | Jan 3, 2025 | 30 y | 0 |
| Vincent Mark Polivka | Gallatin, Tn | Jan 7, 2025 | 39 y | 1 |
| John Derek Borcich | Denver, Co | Jan 10, 2025 | 33 y | 3 |
| John Amador Blakezuniga | Irvine, Ca | Jan 20, 2025 | 43 y | 3 |
| Jean Sendell Suits | Irvine, Ca | Jan 2, 2026 | 43 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- John Amador Blakezuniga from Sector Logic, LPJan 20, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from Vanguard CapitalDec 31, 2016 · Irvine, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Derek John Borcich · Membercontrolsince 06/2016 · owns 25% to 50%
- Mark Vincent Polivka · Member, Ccocontrolsince 06/2016 · owns 25% to 50%
- Clare Julia Youngblood · Membercontrolsince 06/2016 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Denver, Co · principal | 5 | 1 | 0 | ||
| Irvine, Ca | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA4 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 23, 2026 to Sep 1, 2026
- Other offices · 2 to 3Mar 23, 2026 to Sep 1, 2026
- Related adviser · false to unsetMar 23, 2026 to Sep 1, 2026
- Related bank · false to unsetMar 23, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetMar 23, 2026 to Sep 1, 2026
- Related insurance company · false to unsetMar 23, 2026 to Sep 1, 2026
- Succession · false to unsetMar 23, 2026 to Sep 1, 2026
- Accounts · 403 to 414Mar 19, 2025 to Mar 23, 2026
- HNW clients · 42 to 52Mar 19, 2025 to Mar 23, 2026
- Individual clients · 141 to 147Mar 19, 2025 to Mar 23, 2026
- Discretionary RAUM · $171M to $190MMar 19, 2025 to Mar 23, 2026
- HNW RAUM · $126M to $144MMar 19, 2025 to Mar 23, 2026
- Individual RAUM · $44.8M to $46.5MMar 19, 2025 to Mar 23, 2026
- RAUM · $171M to $190MMar 19, 2025 to Mar 23, 2026
- Accounts · 195 to 403Dec 24, 2024 to Mar 19, 2025
- Individual clients · 155 to 141Dec 24, 2024 to Mar 19, 2025
- Financial planning clients · unset to Dec 24, 2024 to Mar 19, 2025
- Discretionary RAUM · $195M to $171MDec 24, 2024 to Mar 19, 2025
- HNW RAUM · $152M to $126MDec 24, 2024 to Mar 19, 2025
- Individual RAUM · $42.9M to $44.8MDec 24, 2024 to Mar 19, 2025
- RAUM · $195M to $171MDec 24, 2024 to Mar 19, 2025
- Other offices · 1 to 2Oct 10, 2024 to Dec 24, 2024
- Employees · 1 to 5Mar 19, 2024 to Oct 10, 2024
- State-registered IARs · 1 to 4Mar 19, 2024 to Oct 10, 2024
- Accounts · 398 to 195Mar 22, 2023 to Mar 19, 2024
- HNW clients · 51 to 42Mar 22, 2023 to Mar 19, 2024
- Individual clients · 138 to 155Mar 22, 2023 to Mar 19, 2024
- Financial planning clients · 0 to unsetMar 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $153M to $195MMar 22, 2023 to Mar 19, 2024
- HNW RAUM · $119M to $152MMar 22, 2023 to Mar 19, 2024
- Individual RAUM · $34.0M to $42.9MMar 22, 2023 to Mar 19, 2024
- Pension RAUM · unset to 0.0Mar 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 22, 2023 to Mar 19, 2024
- RAUM · $153M to $195MMar 22, 2023 to Mar 19, 2024
- Accounts · 410 to 398Mar 24, 2022 to Mar 22, 2023
- Advisory employees · 4 to 0Mar 24, 2022 to Mar 22, 2023
- HNW clients · 41 to 51Mar 24, 2022 to Mar 22, 2023
- Individual clients · 159 to 138Mar 24, 2022 to Mar 22, 2023
- Employees · 4 to 1Mar 24, 2022 to Mar 22, 2023
- State-registered IARs · 4 to 1Mar 24, 2022 to Mar 22, 2023
Signals
2 dated events
- Vanguard Capital reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 12, 2016 · Succession (Item 4) · fact
- Vanguard Capital filed its initial SEC registration (Form ADV)Sep 12, 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
- Website
- VCAPWA.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 844-861-7504reportedpublic record, Form ADV, Sep 1, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $38.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026