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
U•••••••• V•••• A•••••••
Legal name A••••• W••• A•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 20, 2016 · 16 filings
SEC status approved since Jan 9, 2017
RAUM
$51.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.0M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$51.9M as of Mar 30, 2026
Mar 26, 2018$46.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 26, 20182 then
Employees (5.A)5 as of Mar 30, 2026
Mar 26, 20183 then
Private funds: no history
RAUM +14% over the last fiscal year-15% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $26.0MderivedRAUM 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
- $51.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for investment companiesreportedItem 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
- Investment companies$51.9M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• A•••••• B••••• | New York, Ny | Jan 20, 2017 | 27 y | 6 |
| R••••• N••••••• B••••• | Reno, Nv | Jan 20, 2017 | 26 y | 6 |
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
- R••••• N••••••• B••••• from F••••••••• F•••••••• M••••••••• G••••• L••Jan 20, 2017 · Other
- J••••• A•••••• B••••• from F••••••••• F•••••••• M••••••••• G••••• L••Jan 20, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••••• A•••••• · Chief Compliance Officer, Managing Membercontrolsince 10/2005 · owns 25% to 50%
- B•••••• R•••••• N••••••• · Managing Membercontrolsince 06/1999 · owns F of B••••• L•••••••• I••••••••• L••
Entity owners
- B••••• L•••••••• I••••••••• L•• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Reno, Nv · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $45.4M to $51.9MMar 5, 2025 to Mar 30, 2026
- Advisory employees · 3 to 4Mar 5, 2025 to Mar 30, 2026
- Employees · 3 to 5Mar 5, 2025 to Mar 30, 2026
- Insurance-licensed employees · 3 to 4Mar 5, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 4Mar 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $45.4M to $51.9MMar 5, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 14, 2024 to Mar 5, 2025
- Discretionary RAUM · $45.1M to $45.4MMar 14, 2024 to Mar 5, 2025
- RAUM · $45.1M to $45.4MMar 14, 2024 to Mar 5, 2025
- Accounts · 2 to 1Mar 27, 2023 to Mar 14, 2024
- Discretionary RAUM · $84.6M to $45.1MMar 27, 2023 to Mar 14, 2024
- RAUM · $84.6M to $45.1MMar 27, 2023 to Mar 14, 2024
- Insurance-licensed employees · 2 to 3Nov 4, 2022 to Mar 27, 2023
- Discretionary RAUM · $89.0M to $84.6MNov 4, 2022 to Mar 27, 2023
- RAUM · $89.0M to $84.6MNov 4, 2022 to Mar 27, 2023
- Accounts · 1 to 2Mar 31, 2021 to Mar 8, 2022
- Discretionary RAUM · $77.8M to $89.0MMar 31, 2021 to Mar 8, 2022
- RAUM · $77.8M to $89.0MMar 31, 2021 to Mar 8, 2022
- Business name · U•••••••• V•••• A•••••••• L•• to U•••••••• V•••• A•••••••Mar 3, 2021 to Mar 31, 2021
- Insurance-licensed employees · 0 to 2Mar 3, 2021 to Mar 31, 2021
- Advisory activities · 3 to 2Mar 18, 2020 to Mar 3, 2021
- State-registered IARs · 2 to 3Mar 18, 2020 to Mar 3, 2021
- Discretionary RAUM · $51.1M to $77.8MMar 18, 2020 to Mar 3, 2021
- RAUM · $51.1M to $77.8MMar 18, 2020 to Mar 3, 2021
- Discretionary RAUM · $42.1M to $51.1MMar 6, 2019 to Mar 18, 2020
- RAUM · $42.1M to $51.1MMar 6, 2019 to Mar 18, 2020
- Discretionary RAUM · $46.4M to $42.1MMar 26, 2018 to Mar 6, 2019
- RAUM · $46.4M to $42.1MMar 26, 2018 to Mar 6, 2019
- Advisory employees · 2 to 3Sep 29, 2017 to Mar 26, 2018
- Employees · 2 to 3Sep 29, 2017 to Mar 26, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Mar 26, 2018
- Discretionary RAUM · $24.9M to $46.4MSep 29, 2017 to Mar 26, 2018
- RAUM · $24.9M to $46.4MSep 29, 2017 to Mar 26, 2018
- Discretionary RAUM · $24.0M to $24.9MSep 19, 2017 to Sep 29, 2017
- RAUM · $24.0M to $24.9MSep 19, 2017 to Sep 29, 2017
- Discretionary RAUM · $7,000 to $24.0MMay 5, 2017 to Sep 19, 2017
- RAUM · $7,000 to $24.0MMay 5, 2017 to Sep 19, 2017
- Accounts · 0 to 1Dec 22, 2016 to May 5, 2017
- Advisory activities · 2 to 3Dec 22, 2016 to May 5, 2017
- Discretionary RAUM · $0 to $7,000Dec 22, 2016 to May 5, 2017
Signals
1 dated events
- U•••••••• V•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Dec 20, 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 775-284-7778reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $26.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026