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Former SEC-registered adviser

V•••••• B••• F•••••••• G••••• L••

Former SEC-registered adviserMemphis, TennesseeCRD 291979SEC 801-112527websiteIAPD
Latest filing Apr 8, 2025
First filing on the tape Jan 29, 2018 · 15 filings
SEC status approved since Feb 26, 2018
RAUM
$600M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$599M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$600M as of Apr 8, 2025
Jan 30, 2019$233M then
HNW client RAUM$531M as of Apr 8, 2025
Jan 30, 2019$183M then
State-registered IARs (5.B.3)2 as of Apr 8, 2025
Jan 30, 20192 then
Employees (5.A)7 as of Apr 8, 2025
Jan 30, 20197 then
Private funds: no history
RAUM +18% over the last fiscal year+8.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 8, 2025; every figure names its basis
RAUM per advisor
$300MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
146derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$482,444derivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$535MreportedItem 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$531M89%
  • Individuals$68.4M11%
  • Pension and profit-sharing plans$405,1210.1%
Individual clients
174reported
HNW clients
118reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
1,243reported
Financial planning clients
251-500reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
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
  • T•••• S••••• F••••• · Chief Compliance Officercontrol
    since 01/2018 · owns less than 5%
  • V••••••• H•••••• V•••••• · Managercontrol
    since 01/2018 · owns less than 5%
  • V••••••• A•••• · Trusteecontrol
    since 01/2018 · owns F of K••••• T•••• I•
  • V••••••• A•••• · Trusteecontrol
    since 10/2012 · owns F of K•••••• T••••
  • V••••••• U••••• · Member
    since 01/2018 · owns less than 5%
Entity owners
  • K••••• T•••• I• · Member
    direct · owns 25% to 50%
  • K•••••• T•••• · Member
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Memphis, Tn · principal0021
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · 251-500 to 251-500
    Feb 14, 2025 to Apr 8, 2025
  • Accounts · 1,217 to 1,243
    Nov 18, 2024 to Feb 14, 2025
  • HNW clients · 96 to 118
    Nov 18, 2024 to Feb 14, 2025
  • Individual clients · 172 to 174
    Nov 18, 2024 to Feb 14, 2025
  • Pension plan clients · 19 to 1
    Nov 18, 2024 to Feb 14, 2025
  • Assets in custody · $63.3M to $78.6M
    Nov 18, 2024 to Feb 14, 2025
  • Discretionary RAUM · $467M to $535M
    Nov 18, 2024 to Feb 14, 2025
  • HNW RAUM · $432M to $531M
    Nov 18, 2024 to Feb 14, 2025
  • Individual RAUM · $65.4M to $68.4M
    Nov 18, 2024 to Feb 14, 2025
  • Non-discretionary RAUM · $42.8M to $65.0M
    Nov 18, 2024 to Feb 14, 2025
  • Pension RAUM · $12.4M to $405,121
    Nov 18, 2024 to Feb 14, 2025
  • RAUM · $510M to $600M
    Nov 18, 2024 to Feb 14, 2025
  • Accounts · 1,246 to 1,217
    Jun 28, 2023 to Feb 17, 2024
  • Advisory employees · 7 to 6
    Jun 28, 2023 to Feb 17, 2024
  • HNW clients · 84 to 96
    Jun 28, 2023 to Feb 17, 2024
  • Individual clients · 191 to 172
    Jun 28, 2023 to Feb 17, 2024
  • Pension plan clients · 18 to 19
    Jun 28, 2023 to Feb 17, 2024
  • Assets in custody · $42.8M to $63.3M
    Jun 28, 2023 to Feb 17, 2024
  • Custody of client assets · true to false
    Jun 28, 2023 to Feb 17, 2024
  • Employees · 8 to 7
    Jun 28, 2023 to Feb 17, 2024
  • Discretionary RAUM · $363M to $467M
    Jun 28, 2023 to Feb 17, 2024
  • HNW RAUM · $318M to $432M
    Jun 28, 2023 to Feb 17, 2024
  • Individual RAUM · $66.0M to $65.4M
    Jun 28, 2023 to Feb 17, 2024
  • Non-discretionary RAUM · $35.6M to $42.8M
    Jun 28, 2023 to Feb 17, 2024
  • Pension RAUM · $14.4M to $12.4M
    Jun 28, 2023 to Feb 17, 2024
  • RAUM · $399M to $510M
    Jun 28, 2023 to Feb 17, 2024
  • BD registered reps · 5 to 0
    Feb 18, 2023 to Jun 28, 2023
  • Related adviser · true to false
    Feb 18, 2023 to Jun 28, 2023
  • Accounts · 1,173 to 1,246
    Feb 10, 2022 to Feb 18, 2023
  • Advisory employees · 5 to 7
    Feb 10, 2022 to Feb 18, 2023
  • HNW clients · 97 to 84
    Feb 10, 2022 to Feb 18, 2023
  • Individual clients · 167 to 191
    Feb 10, 2022 to Feb 18, 2023
  • Assets in custody · $60.2M to $42.8M
    Feb 10, 2022 to Feb 18, 2023
  • Employees · 7 to 8
    Feb 10, 2022 to Feb 18, 2023
  • Discretionary RAUM · $443M to $363M
    Feb 10, 2022 to Feb 18, 2023
  • HNW RAUM · $402M to $318M
    Feb 10, 2022 to Feb 18, 2023
  • Individual RAUM · $57.4M to $66.0M
    Feb 10, 2022 to Feb 18, 2023
  • Non-discretionary RAUM · $31.3M to $35.6M
    Feb 10, 2022 to Feb 18, 2023
  • Pension RAUM · $14.9M to $14.4M
    Feb 10, 2022 to Feb 18, 2023
  • RAUM · $475M to $399M
    Feb 10, 2022 to Feb 18, 2023
Signals
6 dated events
  • V•••••• B••• F•••••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $599.7M)
    Jan 2, 2026 · Left the SEC roster · derived
  • R••••• F•••• B••• left V•••••• B••• F•••••••• G••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-04-07)
    Dec 23, 2025 · Advisor changed firm · fact
  • H••••• V•••••• V•••••• left V•••••• B••• F•••••••• G••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-05-07)
    Dec 23, 2025 · Advisor changed firm · fact
  • 2 advisors left V•••••• B••• F•••••••• G••••• L•• (Memphis, TN) for M••••• G••••• A••••••• I••• on the same day
    Dec 23, 2025 · Team lift-out · derived
  • V•••••• B••• F•••••••• G••••• L•• reported RAUM $509.8M, up 28% from $398.7M (2023-06-28 to 2024-02-17)
    Feb 17, 2024 · RAUM change · derived
  • V•••••• B••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)
    Jan 29, 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