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

G••••• C•••••• G••••

Former SEC-registered adviserNew York, New YorkCRD 289896SEC 801-111788IAPD
Legal name V•• G••• L••
Latest filing Apr 3, 2019
First filing on the tape Sep 1, 2017 · 5 filings
RAUM
$181M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$181M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$181M as of Apr 3, 2019
Mar 30, 2018$115M then
HNW client RAUM$144M as of Apr 3, 2019
Mar 30, 2018$103M then
State-registered IARs (5.B.3)2 as of Apr 3, 2019
Mar 30, 20182 then
Employees (5.A)22 as of Apr 3, 2019
Mar 30, 201822 then
Private funds: 1
RAUM +57% over the last fiscal yearIARs 2 to 2offices 1 to 2
Practice profile
derived from the filing of Apr 3, 2019; every figure names its basis
RAUM per advisor
$90.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
275derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$372,712derivedHNW RAUM over HNW clients
Average account
$329,073derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
11.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+57%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$144M80%
  • Individuals$36.4M20%
Individual clients
162reported
HNW clients
387reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
549reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••••••• C•••••• F••• I•Private Equity Fund$12.0M3Mar 30, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• M•••• · Chief Compliance Officercontrol
        since 03/2018 · owns less than 5%
      • F••••••••• A••••••• E• · Director Of Wealth Managementcontrol
        since 02/2018 · owns less than 5%
      • G••••••• O••••••• R••••• · Managing Membercontrol
        since 07/2017 · owns 75% or more
      • M•••••• V•••••• K••••••••• · Director Of Operationscontrol
        since 03/2018 · owns less than 5%
      • R••••••• F••••••• · Director Of Tradingcontrol
        since 03/2018 · owns less than 5%
      • G••••••• O••••••• R••••• · Membercontrol
        since 07/2017 · owns 75% or more of G• G•••• C•••••• L••
      Entity owners
      • G• G•••• C•••••• L•• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 112 to 549
        Mar 30, 2018 to Apr 3, 2019
      • Advisory activities · 2 to 1
        Mar 30, 2018 to Apr 3, 2019
      • Business name · V•• G••• L•• D•• O••••••• A•• G••••• C•••••• G•••• to G••••• C•••••• G••••
        Mar 30, 2018 to Apr 3, 2019
      • HNW clients · 112 to 387
        Mar 30, 2018 to Apr 3, 2019
      • Individual clients · unset to 162.0
        Mar 30, 2018 to Apr 3, 2019
      • Pooled vehicle clients · 1.0 to unset
        Mar 30, 2018 to Apr 3, 2019
      • Other offices · 1 to 2
        Mar 30, 2018 to Apr 3, 2019
      • Private funds · 1 to unset
        Mar 30, 2018 to Apr 3, 2019
      • Discretionary RAUM · $6.5M to $0
        Mar 30, 2018 to Apr 3, 2019
      • HNW RAUM · $103M to $144M
        Mar 30, 2018 to Apr 3, 2019
      • Individual RAUM · unset to 36421395.0
        Mar 30, 2018 to Apr 3, 2019
      • Non-discretionary RAUM · $109M to $181M
        Mar 30, 2018 to Apr 3, 2019
      • Pooled vehicle RAUM · 12000000.0 to unset
        Mar 30, 2018 to Apr 3, 2019
      • RAUM · $115M to $181M
        Mar 30, 2018 to Apr 3, 2019
      • Accounts · 0 to 112
        Oct 3, 2017 to Mar 30, 2018
      • Advisory employees · 1 to 8
        Oct 3, 2017 to Mar 30, 2018
      • Advisory activities · 1 to 2
        Oct 3, 2017 to Mar 30, 2018
      • BD registered reps · 1 to 12
        Oct 3, 2017 to Mar 30, 2018
      • Business name · V•• G••• L•• D•• O••••••• to V•• G••• L•• D•• O••••••• A•• G••••• C•••••• G••••
        Oct 3, 2017 to Mar 30, 2018
      • HNW clients · unset to 112.0
        Oct 3, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 1.0
        Oct 3, 2017 to Mar 30, 2018
      • Employees · 1 to 22
        Oct 3, 2017 to Mar 30, 2018
      • HQ city · SAN JUAN to NEW YORK
        Oct 3, 2017 to Mar 30, 2018
      • HQ state · PR to NY
        Oct 3, 2017 to Mar 30, 2018
      • State-registered IARs · 1 to 2
        Oct 3, 2017 to Mar 30, 2018
      • Private funds · unset to 1
        Oct 3, 2017 to Mar 30, 2018
      • Discretionary RAUM · $0 to $6.5M
        Oct 3, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 103000000.0
        Oct 3, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $0 to $109M
        Oct 3, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 12000000.0
        Oct 3, 2017 to Mar 30, 2018
      • RAUM · $0 to $115M
        Oct 3, 2017 to Mar 30, 2018
      • Related adviser · false to true
        Oct 3, 2017 to Mar 30, 2018
      • Related broker-dealer · false to true
        Oct 3, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        Sep 1, 2017 to Oct 3, 2017
      • Legal name · V•• G••• L•• D•• O••••••• to V•• G••• L••
        Sep 1, 2017 to Sep 1, 2017
      Signals
      1 dated events
      • V•• G••• L•• D•• O••••••• filed its initial SEC registration (Form ADV)
        Sep 1, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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