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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

V•••• I••••••••• P•••••••• L••

Former SEC-registered adviserFremont, OhioCRD 290249SEC 801-111937IAPD
Latest filing Feb 7, 2018
First filing on the tape Sep 27, 2017 · 4 filings
RAUM
$31.4M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$31.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$31.4M as of Feb 7, 2018
Sep 27, 2017$0 then
HNW client RAUM$10.9M as of Feb 7, 2018
Jan 29, 2018$10.9M then
State-registered IARs (5.B.3)2 as of Feb 7, 2018
Sep 27, 20172 then
Employees (5.A)2 as of Feb 7, 2018
Sep 27, 20172 then
Private funds: no history
Practice profile
derived from the filing of Feb 7, 2018; every figure names its basis
RAUM per advisor
$15.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$141,425derivedRAUM over accounts (5.F.2.f)
Discretionary
94%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
2.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 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
  • Individuals$20.5M65%
  • High-net-worth individuals$10.9M35%
Individual clients
93reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
222reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $29.4M managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
    • W••••••• J•••••• A•••• · Managing Member, Ccocontrol
      since 09/2017 · 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
    • Advisory activities · 1 to 2
      Jan 29, 2018 to Feb 7, 2018
    • Accounts · 0 to 222
      Nov 21, 2017 to Jan 29, 2018
    • HNW clients · unset to 7.0
      Nov 21, 2017 to Jan 29, 2018
    • Individual clients · unset to 93.0
      Nov 21, 2017 to Jan 29, 2018
    • Discretionary RAUM · $0 to $29.4M
      Nov 21, 2017 to Jan 29, 2018
    • HNW RAUM · unset to 10873579.0
      Nov 21, 2017 to Jan 29, 2018
    • Individual RAUM · unset to 20522825.0
      Nov 21, 2017 to Jan 29, 2018
    • Non-discretionary RAUM · $0 to $2.0M
      Nov 21, 2017 to Jan 29, 2018
    • RAUM · $0 to $31.4M
      Nov 21, 2017 to Jan 29, 2018
    • Wrap assets (manager) · $0 to $29.4M
      Nov 21, 2017 to Jan 29, 2018
    • Other offices · unset to 0.0
      Sep 27, 2017 to Nov 21, 2017
    • Wrap assets (manager) · unset to 0.0
      Sep 27, 2017 to Nov 21, 2017
    • Wrap assets (sponsor) · unset to 0.0
      Sep 27, 2017 to Nov 21, 2017
    Signals
    3 dated events
    • H•••••• L• S••••••••• left V•••• I••••••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2024-10-30)
      Apr 13, 2023 · Advisor changed firm · fact
    • J••••• A•••• W•••••• left V•••• I••••••••• P•••••••• L•• for S•••••••• W••••• P•••••••• L••• (registered 2023-01-17)
      Apr 13, 2023 · Advisor changed firm · fact
    • V•••• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 27, 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