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
V••••••• L••
Latest filing Mar 29, 2017
First filing on the tape Sep 28, 2016 · 4 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Mar 29, 2017
Sep 28, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Sep 28, 20160 then
Employees (5.A)5 as of Mar 29, 2017
Sep 28, 20165 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 29, 2017; 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
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
- 0reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• B••••••• J•• · D•••••Orcontrolsince 09/2016 · owns less than 5%
- B•••••• H•••••• K•••• · D•••••Orcontrolsince 09/2016 · owns less than 5%
- E•••••••• R•••••• W•••••• · Membercontrolsince 09/2016 · owns 10% to 25%
- F•••••• C•••••• N••• · Member; D•••••Orcontrolsince 09/2016 · owns 10% to 25%
- H••••• J•••••• B••••••• · Membercontrolsince 09/2016 · owns 10% to 25%
- K••••• M•••••••• R••• · D•••••Orcontrolsince 09/2016 · owns less than 5%
- S•••••• C•••••• J••• · Chief Operating Officercontrolsince 09/2016 · owns less than 5%
- B••••• B••••••• J•• · Member; D•••••Orcontrolsince 03/2016 · owns F of T•• H•••••••• L••
- B•••••••• M•••••• C••••••••• · D•••••Orcontrolsince 09/2009 · owns F of T••••••• I••••••••• L••
- B•••••••• M•••••• C••••••••• · Elected Managercontrolsince 07/2007 · owns F of B••••••• F••••• H•••••• C••••••• L••
- B•••••• H•••••• K•••• · D•••••Orcontrolsince 03/2016 · owns F of T•• H•••••••• L••
- B•••••• H•••••• K•••• · D•••••Or; Ceocontrolsince 09/2009 · owns F of T••••••• I••••••••• L••
- H••••• Z••••••• A••• · D•••••Orcontrolsince 03/2016 · owns F of T•• H•••••••• L••
- H••••• Z••••••• A••• · D•••••Orcontrolsince 01/2015 · owns F of T••••••• I••••••••• L••
- H•••••• G•••• P••• · D•••••Orcontrolsince 03/2016 · owns F of T•• H•••••••• L••
- H•••••• G•••• P••• · D•••••Orcontrolsince 09/2009 · owns F of T••••••• I••••••••• L••
- K••••• M•••••••• R••• · D•••••Orcontrolsince 03/2016 · owns F of T•• H•••••••• L••
- M•••••• K••••••• P•••• · D•••••Orcontrolsince 01/2015 · owns F of T••••••• I••••••••• L••
- M••••••• T••••• C•••• · D•••••Orcontrolsince 01/2015 · owns F of T••••••• I••••••••• L••
- B•••• D••••• M•••• · Chief Compliance Officersince 09/2016 · owns less than 5%
Entity owners
- T•• H•••••••• L•• · Memberdirect · owns 25% to 50%
- T••••••• I••••••••• L•• · Memberdirect · owns 50% to 75%
- B••••••• F••••• H•••••• C••••••• L•• · Managerindirect · owns 75% or more of M•••••• H•••••••• L••
- M•••••• H•••••••• L•• · Managing Memberindirect · owns 75% or more of M•••••• I••••••••• L••
- M•••••• I••••••••• L•• · Memberindirect · owns 50% to 75% of T••••••• I••••••••• L••
- T••••••• I••••••••• L•• · Memberindirect · owns 50% to 75% of T•• H•••••••• L••
Related persons
Schedule D 7.A
- M••••••investment adviserpooled vehicle sponsorLP sponsornRAUM $125B
- T••••••• C•••••• A•••••••• L•••••investment adviserbankpooled vehicle sponsornRAUM $8.9B
- T••••••• C•••• E••••• P•••••••• L••investment advisern
- T••••••• C••••• S••••••••• L••investment adviserbanknRAUM $3.1B
- T••••••• D••••• O••••••••• G• L••pooled vehicle sponsorn
- Tis Advisorsinvestment adviserbanknRAUM $719M
- T•••••••Ecofin Investments Partners, LLCinvestment advisern
- T••••••• M••••••••• L••pooled vehicle sponsorn
- T••••••• M•••••••• C••••• G•• L••pooled vehicle sponsorn
Advisers that list V••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Portland, OR
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- V••••••• L•• filed its initial SEC registration (Form ADV)Sep 28, 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