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•••••• P•••••• W•••••• L••

Former SEC-registered adviserNaples, FloridaCRD 285748SEC 801-108841IAPD
Latest filing May 24, 2017
First filing on the tape Dec 12, 2016 · 7 filings
RAUM
$18.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$18.1M as of May 24, 2017
Dec 12, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of May 24, 2017
Dec 12, 20160 then
Employees (5.A)1 as of May 24, 2017
Dec 12, 20161 then
Private funds: no history
Practice profile
derived from the filing of May 24, 2017; every figure names its basis
RAUM per advisor
$18.1MderivedRAUM 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
$671,196derivedRAUM 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
1.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • has custody of client securities (9.A.1.b)
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
27reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • P••••••• M••••••• D•••• · Chief Compliance Officer And Membercontrol
      since 01/2017 · owns 75% or more
    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
    • Assets in custody · $0 to $18.1M
      Apr 21, 2017 to May 19, 2017
    • Accounts · 0 to 27
      Jan 24, 2017 to Apr 21, 2017
    • Discretionary RAUM · $0 to $18.1M
      Jan 24, 2017 to Apr 21, 2017
    • RAUM · $0 to $18.1M
      Jan 24, 2017 to Apr 21, 2017
    • Advisory employees · 0 to 1
      Dec 14, 2016 to Jan 3, 2017
    • HQ city · TAMPA to NAPLES
      Dec 14, 2016 to Jan 3, 2017
    • State-registered IARs · 0 to 1
      Dec 14, 2016 to Jan 3, 2017
    Signals
    4 dated events
    • A••••• G••••••• W••••• left V•••••• P•••••• W•••••• L•• for V••••••• C•••••• A•••••••• L•• (registered 2023-08-08)
      Aug 15, 2023 · Advisor changed firm · fact
    • M•••••• D•••• P•••••• left V•••••• P•••••• W•••••• L•• for V••••••• C•••••• A•••••••• L•• (registered 2023-07-20)
      Aug 15, 2023 · Advisor changed firm · fact
    • 2 advisors left V•••••• P•••••• W•••••• L•• (Naples, FL) for V••••••• C•••••• A•••••••• L•• on the same day
      Aug 15, 2023 · Team lift-out · derived
    • V•••••• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)
      Dec 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.
    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