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••• G••••• M••••
Legal name V••• G••••• M•••• A••••••• L•
Latest filing Mar 7, 2019
First filing on the tape Aug 21, 2017 · 5 filings
RAUM
$266M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$52.6M gross assets
History
5 filings and snapshots on the tape
RAUM$266M as of Mar 7, 2019
Jan 17, 2018$200M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2019
Jan 17, 20180 then
Employees (5.A)4 as of Mar 7, 2019
Jan 17, 20183 then
Private funds: 1
RAUM +33% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2019; 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
- $88.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween 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 pooled vehiclesreportedItem 5.G
- Custody
- $52.6M, 2 clientsreportedItem 9.A
- 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$213M80%
- Pooled investment vehicles$52.6M20%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.6M for 2 clientsreported
- 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V••• G••••• O••••••••• M••••• F••• L• | Hedge Fund | $52.6M | 1 | Sep 7, 2018 |
Owners and control persons
Schedule A and B, latest filing
- G••••• A•••••••• · Coo/Ccocontrolsince 08/2017 · owns less than 5%
- P••••••• M•••••• · Ceo/Ciocontrolsince 08/2017 · owns 75% or more
- P••••••• M•••••• · Managing Membercontrolsince 08/2017 · owns 75% or more of V••• G••••• M•••• A••••••• G• L••
Entity owners
- V••• G••••• M•••• A••••••• G• L•• · Gpdirect · owns less than 5%
Related persons
Schedule D 7.A
- V••• G••••• M•••• A••••••• G• L••n
- V••• G••••• O••••••••• F••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Sep 7, 2018 to Mar 7, 2019
- Assets in custody · $50.0M to $52.6MSep 7, 2018 to Mar 7, 2019
- Discretionary RAUM · $250M to $266MSep 7, 2018 to Mar 7, 2019
- Pooled vehicle RAUM · $50.0M to $52.6MSep 7, 2018 to Mar 7, 2019
- RAUM · $250M to $266MSep 7, 2018 to Mar 7, 2019
- Accounts · 1 to 3Jan 23, 2018 to Sep 7, 2018
- Advisory activities · 1 to 2Jan 23, 2018 to Sep 7, 2018
- Pooled vehicle clients · unset to 2.0Jan 23, 2018 to Sep 7, 2018
- Assets in custody · unset to 50000000.0Jan 23, 2018 to Sep 7, 2018
- Custody of client assets · false to trueJan 23, 2018 to Sep 7, 2018
- Employees · 3 to 4Jan 23, 2018 to Sep 7, 2018
- Private funds · unset to 1Jan 23, 2018 to Sep 7, 2018
- Discretionary RAUM · $200M to $250MJan 23, 2018 to Sep 7, 2018
- Pooled vehicle RAUM · unset to 50000000.0Jan 23, 2018 to Sep 7, 2018
- RAUM · $200M to $250MJan 23, 2018 to Sep 7, 2018
- HQ city · unset to NEW YORKJan 17, 2018 to Jan 23, 2018
- HQ state · unset to NYJan 17, 2018 to Jan 23, 2018
- Accounts · unset to 1.0Aug 21, 2017 to Jan 17, 2018
- Advisory employees · 2 to 3Aug 21, 2017 to Jan 17, 2018
- Corporate clients · unset to 1.0Aug 21, 2017 to Jan 17, 2018
- Legal name · V••• G••••• M•••• to V••• G••••• M•••• A••••••• L•Aug 21, 2017 to Jan 17, 2018
- Other offices · unset to 0.0Aug 21, 2017 to Jan 17, 2018
- Discretionary RAUM · unset to 200000000.0Aug 21, 2017 to Jan 17, 2018
- Non-discretionary RAUM · unset to 0.0Aug 21, 2017 to Jan 17, 2018
- RAUM · unset to 200000000.0Aug 21, 2017 to Jan 17, 2018
- Related bank · false to trueAug 21, 2017 to Jan 17, 2018
Signals
1 dated events
- V••• G••••• M•••• filed its initial SEC registration (Form ADV)Aug 21, 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