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
V•• L•••••• R••••••••• • I••••••••• S•••••••
Legal name V•• L•••••• • A••••••••• I•••
Latest filing Aug 12, 2026
First filing on the tape Aug 3, 2017 · 25 filings
SEC status approved since Sep 5, 2017
RAUM
$559M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$549M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$280M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$559M as of Aug 12, 2026
Jan 3, 2018$129M then
HNW client RAUM$358M as of Aug 12, 2026
Jan 3, 2018$58.4M then
State-registered IARs (5.B.3)2 as of Aug 12, 2026
Jan 3, 20182 then
Employees (5.A)3 as of Aug 12, 2026
Jan 3, 20183 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 12, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $280MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 350derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $454,441derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $559MreportedItem 5.I
- 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$358M64%
- Individuals$191M34%
- Pension and profit-sharing plans$10.3M1.8%
- Charitable organizations$45,2080.0%
- Individual clients
- 527reported
- HNW clients
- 173reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 1,231reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••••• D•••••• A•••••Certified Financial Planner | Richmond, Ky | Sep 12, 2017 | 25 y | 0 |
| M••• D••••• V••••••••• | Richmond, Ky | Sep 12, 2017 | 42 y | 1 |
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
- M••• D••••• V••••••••• from L•• F•••••••• L••Sep 12, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••••• M•••• D••••• · President And Chief Compliance Officercontrolsince 07/2017 · owns 75% or more
- A•••••• K••••••••• D•••••• · Investment Advisor Representative, Alternate Regulatory Contactsince 07/2017 · owns 10% to 25%
- V•• L••••••• J••••• A• · Shareholdersince 04/2020 · owns less than 5%
- V•• L••••••• M•••• A• · Shareholdersince 04/2020 · owns less than 5%
- V•• L••••••• S••••• M• · Shareholdersince 04/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Richmond, Ky · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,115 to 1,231Oct 9, 2025 to Mar 19, 2026
- HNW clients · 140 to 173Oct 9, 2025 to Mar 19, 2026
- Individual clients · 493 to 527Oct 9, 2025 to Mar 19, 2026
- Pension plan clients · 5 to 4Oct 9, 2025 to Mar 19, 2026
- Discretionary RAUM · $461M to $559MOct 9, 2025 to Mar 19, 2026
- HNW RAUM · $282M to $358MOct 9, 2025 to Mar 19, 2026
- Individual RAUM · $168M to $191MOct 9, 2025 to Mar 19, 2026
- Pension RAUM · $11.2M to $10.3MOct 9, 2025 to Mar 19, 2026
- RAUM · $461M to $559MOct 9, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 15, 2025 to Oct 9, 2025
- Accounts · 981 to 1,115Aug 8, 2024 to Mar 15, 2025
- HNW clients · 108 to 140Aug 8, 2024 to Mar 15, 2025
- Individual clients · 469 to 493Aug 8, 2024 to Mar 15, 2025
- Pension plan clients · 4 to 5Aug 8, 2024 to Mar 15, 2025
- Discretionary RAUM · $378M to $461MAug 8, 2024 to Mar 15, 2025
- HNW RAUM · $206M to $282MAug 8, 2024 to Mar 15, 2025
- Individual RAUM · $161M to $168MAug 8, 2024 to Mar 15, 2025
- Pension RAUM · $11.1M to $11.2MAug 8, 2024 to Mar 15, 2025
- RAUM · $378M to $461MAug 8, 2024 to Mar 15, 2025
- Accounts · 913 to 981Feb 23, 2023 to Feb 17, 2024
- HNW clients · 82 to 108Feb 23, 2023 to Feb 17, 2024
- Individual clients · 432 to 469Feb 23, 2023 to Feb 17, 2024
- Discretionary RAUM · $302M to $378MFeb 23, 2023 to Feb 17, 2024
- HNW RAUM · $146M to $206MFeb 23, 2023 to Feb 17, 2024
- Individual RAUM · $148M to $161MFeb 23, 2023 to Feb 17, 2024
- Pension RAUM · $8.4M to $11.1MFeb 23, 2023 to Feb 17, 2024
- RAUM · $302M to $378MFeb 23, 2023 to Feb 17, 2024
- Accounts · 835 to 913Mar 4, 2022 to Feb 23, 2023
- HNW clients · 98 to 82Mar 4, 2022 to Feb 23, 2023
- Individual clients · 395 to 432Mar 4, 2022 to Feb 23, 2023
- Pension plan clients · 5 to 4Mar 4, 2022 to Feb 23, 2023
- Discretionary RAUM · $337M to $302MMar 4, 2022 to Feb 23, 2023
- HNW RAUM · $187M to $146MMar 4, 2022 to Feb 23, 2023
- Individual RAUM · $140M to $148MMar 4, 2022 to Feb 23, 2023
- Pension RAUM · $9.2M to $8.4MMar 4, 2022 to Feb 23, 2023
- RAUM · $337M to $302MMar 4, 2022 to Feb 23, 2023
- Accounts · 709 to 835Feb 4, 2021 to Mar 4, 2022
- Charity clients · 0 to 1Feb 4, 2021 to Mar 4, 2022
- HNW clients · 76 to 98Feb 4, 2021 to Mar 4, 2022
- Individual clients · 354 to 395Feb 4, 2021 to Mar 4, 2022
Signals
1 dated events
- V•• L•••••• R••••••••• • I••••••••• S••••••• filed its initial SEC registration (Form ADV)Aug 3, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 859-626-3400reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-626-3467reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-626-3467reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.v•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (859) 626-3400reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- v•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- v•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $280Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026