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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SEC-registered adviser
V••••• A•••• M••••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Aug 24, 2021 · 8 filings
SEC status approved since Sep 23, 2021
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$257M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$257M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$257M as of Apr 17, 2026
Mar 28, 2022$169M then
HNW client RAUM$257M as of Apr 17, 2026
Mar 28, 2022$169M then
State-registered IARs (5.B.3)1 as of Apr 17, 2026
Mar 28, 20221 then
Employees (5.A)4 as of Apr 17, 2026
Mar 28, 20221 then
Private funds: no history
RAUM +7.5% over the last fiscal year+23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $257MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$257M100%
- Individual clients
- 0reported
- HNW clients
- 134reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 134reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y•••••• H••••Certified Financial Planner | Saratoga, Ca | Nov 20, 2025 | 14 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Q••••••• H• to O•••••• C••••••• L••Mar 21, 2024 · RIA to RIA
Joined, latest
- Y•••••• H•••• from W•••••• I••••••••• S•••••••••Nov 20, 2025 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• Y•••••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 08/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Saratoga, Ca · principal | 1 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Cupertino, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 133 to 134Mar 31, 2025 to Mar 31, 2026
- HNW clients · 133 to 134Mar 31, 2025 to Mar 31, 2026
- Employees · 2 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $239M to $257MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $239M to $257MMar 31, 2025 to Mar 31, 2026
- RAUM · $239M to $257MMar 31, 2025 to Mar 31, 2026
- Accounts · 119 to 133Mar 29, 2024 to Mar 31, 2025
- HNW clients · 119 to 133Mar 29, 2024 to Mar 31, 2025
- Employees · 4 to 2Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $204M to $239MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $204M to $239MMar 29, 2024 to Mar 31, 2025
- RAUM · $204M to $239MMar 29, 2024 to Mar 31, 2025
- Accounts · 98 to 119Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- HNW clients · 98 to 119Mar 31, 2023 to Mar 29, 2024
- Employees · 2 to 4Mar 31, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 0Mar 31, 2023 to Mar 29, 2024
- HQ city · CUPERTINO to SARATOGAMar 31, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Other offices · 1 to 2Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $138M to $204MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $138M to $204MMar 31, 2023 to Mar 29, 2024
- RAUM · $138M to $204MMar 31, 2023 to Mar 29, 2024
- Accounts · 85 to 98Sep 21, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Sep 21, 2022 to Mar 31, 2023
- HNW clients · 85 to 98Sep 21, 2022 to Mar 31, 2023
- Employees · 1 to 2Sep 21, 2022 to Mar 31, 2023
- Financial planning clients · 0 to 1-10Sep 21, 2022 to Mar 31, 2023
- State-registered IARs · 1 to 2Sep 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $169M to $138MSep 21, 2022 to Mar 31, 2023
- HNW RAUM · $169M to $138MSep 21, 2022 to Mar 31, 2023
- RAUM · $169M to $138MSep 21, 2022 to Mar 31, 2023
- Accounts · 79 to 85Aug 24, 2021 to Mar 28, 2022
- HNW clients · 79 to 85Aug 24, 2021 to Mar 28, 2022
- Financial planning clients · 1-10 to 0Aug 24, 2021 to Mar 28, 2022
- Discretionary RAUM · $148M to $169MAug 24, 2021 to Mar 28, 2022
- HNW RAUM · $148M to $169MAug 24, 2021 to Mar 28, 2022
- RAUM · $148M to $169MAug 24, 2021 to Mar 28, 2022
Signals
2 dated events
- Q••••••• H• left V••••• A•••• M••••••••• L•• for O•••••• C••••••• L•• (registered 2025-11-04)Mar 21, 2024 · Advisor changed firm · fact
- V••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-882-1770reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/vienna-asset-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- v•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 408-882-1770reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $257Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026