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.

Former SEC-registered adviser

Valor Capital Management, LLC

Former SEC-registered adviserWestlake, OhioCRD 291213SEC 801-112560IAPD
Latest filing Oct 25, 2023
First filing on the tape Feb 1, 2018 · 16 filings
RAUM
$893M
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
38
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$893M as of Mar 29, 2023
Mar 30, 2019$409M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 29, 2023
Mar 30, 20196 then
Employees (5.A)38 as of Mar 29, 2023
Mar 30, 201913 then
Private funds: no history
RAUM +6.0% over the last fiscal year+18% a year over threeIARs 10 to 12
Practice profile
derived from the filing of Oct 25, 2023; every figure names its basis
RAUM per advisor
$74.4MderivedRAUM 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
$63.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.2derivedItem 5.A over advisors
Advisors per office
12.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.0%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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
  • Other investment advisers$893M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Matthew David Alison · President And Founding Partnercontrol
    since 03/2021 · owns less than 5%
  • W Luke Ripienski · Chief Compliance Officercontrol
    since 03/2023 · owns less than 5%
  • L Jason Smith · Ceocontrol
    since 12/2017 · owns less than 5%
  • L Jason Smith · Ownercontrol
    since 02/2017 · owns 25% to 50% of C2p Enterprises, LLC
Entity owners
  • C2p Enterprises, LLC · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Westlake, Oh · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Advisory employees · 32 to 10
    May 16, 2022 to Mar 29, 2023
  • BD registered reps · 0 to 1
    May 16, 2022 to Mar 29, 2023
  • Employees · 36 to 38
    May 16, 2022 to Mar 29, 2023
  • Insurance-licensed employees · 10 to 12
    May 16, 2022 to Mar 29, 2023
  • State-registered IARs · 10 to 12
    May 16, 2022 to Mar 29, 2023
  • Discretionary RAUM · $843M to $893M
    May 16, 2022 to Mar 29, 2023
  • RAUM · $843M to $893M
    May 16, 2022 to Mar 29, 2023
  • Advisory employees · 31 to 32
    Aug 19, 2021 to Mar 30, 2022
  • BD registered reps · 1 to 0
    Aug 19, 2021 to Mar 30, 2022
  • Employees · 31 to 36
    Aug 19, 2021 to Mar 30, 2022
  • Insurance-licensed employees · 9 to 10
    Aug 19, 2021 to Mar 30, 2022
  • Discretionary RAUM · $660M to $843M
    Aug 19, 2021 to Mar 30, 2022
  • RAUM · $660M to $843M
    Aug 19, 2021 to Mar 30, 2022
  • Accounts · 13 to 14
    Sep 21, 2020 to Mar 30, 2021
  • Advisory employees · 15 to 31
    Sep 21, 2020 to Mar 30, 2021
  • BD registered reps · 4 to 1
    Sep 21, 2020 to Mar 30, 2021
  • Employees · 15 to 31
    Sep 21, 2020 to Mar 30, 2021
  • Insurance-licensed employees · 8 to 9
    Sep 21, 2020 to Mar 30, 2021
  • Financial planning clients · unset to 0
    Sep 21, 2020 to Mar 30, 2021
  • State-registered IARs · 4 to 10
    Sep 21, 2020 to Mar 30, 2021
  • Discretionary RAUM · $548M to $660M
    Sep 21, 2020 to Mar 30, 2021
  • RAUM · $548M to $660M
    Sep 21, 2020 to Mar 30, 2021
  • Other offices · 1 to 0
    Mar 20, 2020 to Sep 21, 2020
  • Accounts · 12 to 13
    Sep 5, 2019 to Mar 20, 2020
  • Advisory employees · 13 to 15
    Sep 5, 2019 to Mar 20, 2020
  • BD registered reps · 2 to 4
    Sep 5, 2019 to Mar 20, 2020
  • Employees · 13 to 15
    Sep 5, 2019 to Mar 20, 2020
  • Insurance-licensed employees · 6 to 8
    Sep 5, 2019 to Mar 20, 2020
  • State-registered IARs · 6 to 4
    Sep 5, 2019 to Mar 20, 2020
  • Discretionary RAUM · $409M to $548M
    Sep 5, 2019 to Mar 20, 2020
  • RAUM · $409M to $548M
    Sep 5, 2019 to Mar 20, 2020
  • Accounts · 7 to 12
    Feb 4, 2019 to Mar 30, 2019
  • Advisory employees · 7 to 13
    Feb 4, 2019 to Mar 30, 2019
  • BD registered reps · 1 to 2
    Feb 4, 2019 to Mar 30, 2019
  • Employees · 8 to 13
    Feb 4, 2019 to Mar 30, 2019
  • Insurance-licensed employees · 5 to 6
    Feb 4, 2019 to Mar 30, 2019
  • State-registered IARs · 5 to 6
    Feb 4, 2019 to Mar 30, 2019
  • Discretionary RAUM · $395M to $409M
    Feb 4, 2019 to Mar 30, 2019
  • RAUM · $395M to $409M
    Feb 4, 2019 to Mar 30, 2019
  • Accounts · 0 to 7
    Apr 4, 2018 to Aug 10, 2018
Signals
10 dated events
  • Ryan J Warner left Valor Capital Management, Llc for Prosperity Capital Advisors (registered 2018-06-28)
    Mar 29, 2024 · Advisor changed firm · fact
  • W Luke Ripienski (Chief Compliance Officer) appeared on Schedule A of Valor Capital Management, Llc
    Mar 29, 2023 · Control person joined · fact
  • Rechlitz Jennifer Relien (General Counsel & Chief Compliance Officer) no longer on Schedule A of Valor Capital Management, Llc (listed 2022-05-16, absent 2023-03-29)
    Mar 29, 2023 · Control person left · inference
  • Valor Capital Management, Llc reported RAUM $842.6M, up 28% from $659.8M (2021-08-19 to 2022-03-30)
    Mar 30, 2022 · RAUM change · derived
  • Kishore Dipen Mehta (Executive Vice President - Operations) no longer on Schedule A of Valor Capital Management, Llc (listed 2021-03-30, absent 2021-05-03)
    May 3, 2021 · Control person left · inference
  • Raymond Jerry Herman (Chief Investment Officer) no longer on Schedule A of Valor Capital Management, Llc (listed 2020-09-21, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Stephan Douglas King (President) no longer on Schedule A of Valor Capital Management, Llc (listed 2019-09-05, absent 2020-03-20)
    Mar 20, 2020 · Control person left · inference
  • Valor Capital Management, Llc reported RAUM $547.9M, up 34% from $408.9M (2019-09-05 to 2020-03-20)
    Mar 20, 2020 · RAUM change · derived
  • Kishore Dipen Mehta (Vice President- Operations) appeared on Schedule A of Valor Capital Management, Llc
    Mar 20, 2020 · Control person joined · fact
  • Valor Capital Management, Llc filed its initial SEC registration (Form ADV)
    Feb 1, 2018 · 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