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•••••• C•••••• M••••••••• L••
Latest filing Jan 29, 2025
First filing on the tape Jan 11, 2017 · 29 filings
SEC status approved since Jan 25, 2017
RAUM
$229M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$229M as of Jan 29, 2025
Jan 31, 2018$1.9B then
HNW client RAUM$229M as of Jan 29, 2025
Jan 31, 2018$1.9B then
State-registered IARs (5.B.3)3 as of Jan 29, 2025
Jan 31, 20181 then
Employees (5.A)4 as of Jan 29, 2025
Jan 31, 20184 then
Private funds: no history
RAUM -50% over the last fiscal year-37% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 29, 2025; every figure names its basis
- RAUM per advisor
- $76.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.5MderivedHNW RAUM over HNW clients
- Average account
- $13.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -50%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -61%derived
- Compensation
- percentage of assets, performance-basedreportedItem 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$229M100%
- Individual clients
- 0reported
- HNW clients
- 17reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 17reported
- 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
- R••• S•••• C••••• to S••••••• C••••••Jul 2, 2025 · RIA to a state-registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• R••• S•••• · Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- K•••••• V•••• · Managing Member & Ciocontrolsince 10/2016 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Short Hills, Nj · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 44 to 17Mar 14, 2024 to Jan 29, 2025
- HNW clients · 44 to 17Mar 14, 2024 to Jan 29, 2025
- HQ city · MILLBURN to SHORT HILLSMar 14, 2024 to Jan 29, 2025
- Discretionary RAUM · $455M to $229MMar 14, 2024 to Jan 29, 2025
- HNW RAUM · $455M to $229MMar 14, 2024 to Jan 29, 2025
- RAUM · $455M to $229MMar 14, 2024 to Jan 29, 2025
- Accounts · 75 to 44Jul 10, 2023 to Mar 14, 2024
- HNW clients · 90 to 44Jul 10, 2023 to Mar 14, 2024
- Discretionary RAUM · $737M to $455MJul 10, 2023 to Mar 14, 2024
- HNW RAUM · $737M to $455MJul 10, 2023 to Mar 14, 2024
- RAUM · $737M to $455MJul 10, 2023 to Mar 14, 2024
- Accounts · 90 to 75Jan 27, 2022 to Feb 1, 2023
- Discretionary RAUM · $916M to $737MJan 27, 2022 to Feb 1, 2023
- HNW RAUM · $916M to $737MJan 27, 2022 to Feb 1, 2023
- RAUM · $916M to $737MJan 27, 2022 to Feb 1, 2023
- Accounts · 96 to 90Jan 26, 2021 to Jan 27, 2022
- HNW clients · 96 to 90Jan 26, 2021 to Jan 27, 2022
- Discretionary RAUM · $899M to $916MJan 26, 2021 to Jan 27, 2022
- HNW RAUM · $899M to $916MJan 26, 2021 to Jan 27, 2022
- RAUM · $899M to $916MJan 26, 2021 to Jan 27, 2022
- Accounts · 130 to 96May 28, 2020 to Jan 26, 2021
- HNW clients · 130 to 96May 28, 2020 to Jan 26, 2021
- Discretionary RAUM · $1.4B to $899MMay 28, 2020 to Jan 26, 2021
- HNW RAUM · $1.4B to $899MMay 28, 2020 to Jan 26, 2021
- RAUM · $1.4B to $899MMay 28, 2020 to Jan 26, 2021
- Accounts · 161 to 130Jun 18, 2019 to Jan 23, 2020
- HNW clients · 161 to 130Jun 18, 2019 to Jan 23, 2020
- Employees · 6 to 4Jun 18, 2019 to Jan 23, 2020
- Discretionary RAUM · $1.8B to $1.4BJun 18, 2019 to Jan 23, 2020
- HNW RAUM · $1.8B to $1.4BJun 18, 2019 to Jan 23, 2020
- RAUM · $1.8B to $1.4BJun 18, 2019 to Jan 23, 2020
- Advisory employees · 2 to 3Feb 27, 2019 to May 31, 2019
- Employees · 5 to 6Feb 27, 2019 to May 31, 2019
- State-registered IARs · 2 to 3Feb 27, 2019 to May 31, 2019
- Accounts · 143 to 161Apr 20, 2018 to Feb 12, 2019
- HNW clients · 143 to 161Apr 20, 2018 to Feb 12, 2019
- Discretionary RAUM · $1.9B to $1.8BApr 20, 2018 to Feb 12, 2019
- HNW RAUM · $1.9B to $1.8BApr 20, 2018 to Feb 12, 2019
- RAUM · $1.9B to $1.8BApr 20, 2018 to Feb 12, 2019
- Advisory employees · 1 to 2Feb 9, 2018 to Apr 11, 2018
Signals
6 dated events
- V•••••• C•••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $229.2M)Aug 1, 2025 · Left the SEC roster · derived
- R••• S•••• C••••• left V•••••• C•••••• M••••••••• L•• for S••••••• C•••••• (registered 2026-08-31)Jul 2, 2025 · Advisor changed firm · fact
- V•••••• C•••••• M••••••••• L•• reported RAUM $229.2M, down 50% from $455.1M (2024-03-14 to 2025-01-29)Jan 29, 2025 · RAUM change · derived
- V•••••• C•••••• M••••••••• L•• reported RAUM $455.1M, down 38% from $736.8M (2023-07-10 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- V•••••• C•••••• M••••••••• L•• reported RAUM $899.0M, down 37% from $1.4B (2020-05-28 to 2021-01-26)Jan 26, 2021 · RAUM change · derived
- V•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 11, 2017 · 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