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•••••• A•••• M•••••••••

Former SEC-registered adviserLondon, CRD 291249SEC 801-112294IAPD
Legal name V•••••• A•••• M••••••••• L••••••
Latest filing Sep 15, 2021
First filing on the tape Dec 13, 2017 · 8 filings
RAUM
$407M
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
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$123M gross assets
History
8 filings and snapshots on the tape
RAUM$407M as of May 12, 2021
Jun 20, 2019$309M then
HNW client RAUM$0 as of May 12, 2021
Jun 28, 2018$0 then
State-registered IARs (5.B.3)0 as of May 12, 2021
Jun 28, 20180 then
Employees (5.A)11 as of May 12, 2021
Jun 28, 201810 then
Private funds1 as of May 12, 2021
Jun 20, 20191 then
RAUM +57% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 15, 2021; 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
$136MderivedRAUM 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
+57%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$407M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
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
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
      T•• V•••••• G••••• E••••• F•••Other Private Fund$123M8May 31, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• A•••• E•••••••• · Chairman, Director And Shareholdercontrol
        since 08/2017 · owns 50% to 75%
      • L••••••• T••••••• J••• · Directorcontrol
        since 08/2017 · owns less than 5%
      • P••••••••• E••••••••• A••• · Chief Compliance Officercontrol
        since 03/2021 · owns less than 5%
      • R•••••••• J•••• P•••••• · Shareholder, Directorcontrol
        since 09/2017 · owns 5% to 10%
      • T••••••• J•••• M•••••• A••••• · Shareholder, Directorcontrol
        since 08/2017 · owns 5% to 10%
      • B•••• S••••••• C•••••• · Director & Shareholdercontrol
        since 04/1995 · owns 50% to 75% of S••••••••• P••••••• L••••••
      Entity owners
      • S••••••••• P••••••• L•••••• · Shareholder
        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
      • Advisory employees · 4 to 5
        Jun 25, 2020 to May 12, 2021
      • Employees · 10 to 11
        Jun 25, 2020 to May 12, 2021
      • Discretionary RAUM · $260M to $407M
        Jun 25, 2020 to May 12, 2021
      • Pooled vehicle RAUM · $260M to $407M
        Jun 25, 2020 to May 12, 2021
      • RAUM · $260M to $407M
        Jun 25, 2020 to May 12, 2021
      • Employees · 11 to 10
        Jun 20, 2019 to Jun 25, 2020
      • Discretionary RAUM · $309M to $260M
        Jun 20, 2019 to Jun 25, 2020
      • Pooled vehicle RAUM · $309M to $260M
        Jun 20, 2019 to Jun 25, 2020
      • RAUM · $309M to $260M
        Jun 20, 2019 to Jun 25, 2020
      • Employees · 10 to 11
        Oct 17, 2018 to Jun 20, 2019
      • Discretionary RAUM · $286M to $309M
        Oct 17, 2018 to Jun 20, 2019
      • Pooled vehicle RAUM · $286M to $309M
        Oct 17, 2018 to Jun 20, 2019
      • RAUM · $286M to $309M
        Oct 17, 2018 to Jun 20, 2019
      • Accounts · unset to 3.0
        Jun 28, 2018 to Oct 17, 2018
      • Pooled vehicle clients · 0 to 3
        Jun 28, 2018 to Oct 17, 2018
      • Private funds · unset to 1
        Jun 28, 2018 to Oct 17, 2018
      • Discretionary RAUM · unset to 286056902.0
        Jun 28, 2018 to Oct 17, 2018
      • Non-discretionary RAUM · unset to 0.0
        Jun 28, 2018 to Oct 17, 2018
      • Pooled vehicle RAUM · $0 to $286M
        Jun 28, 2018 to Oct 17, 2018
      • RAUM · unset to 286056902.0
        Jun 28, 2018 to Oct 17, 2018
      • Advisory employees · 3 to 4
        Dec 13, 2017 to Jun 28, 2018
      • Employees · 7 to 10
        Dec 13, 2017 to Jun 28, 2018
      Signals
      3 dated events
      • V•••••• A•••• M••••••••• reported RAUM $407.1M, up 57% from $259.5M (2020-06-25 to 2021-05-12)
        May 12, 2021 · RAUM change · derived
      • Anne Elizabeth Pritchard (Chief Compliance Officer) appeared on Schedule A of V•••••• A•••• M•••••••••
        May 12, 2021 · Control person joined · fact
      • V•••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)
        Dec 13, 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