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•••••• G••••
Legal name D•••• L••
Latest filing Jan 27, 2025
First filing on the tape Apr 22, 2019 · 23 filings
SEC status approved since May 23, 2019
RAUM
$629M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
82%
$516M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$629M as of Jan 27, 2025
Jan 27, 2020$213M then
HNW client RAUM$364M as of Jan 27, 2025
Jan 27, 2020$144M then
State-registered IARs (5.B.3)7 as of Jan 27, 2025
Jan 27, 20206 then
Employees (5.A)15 as of Jan 27, 2025
Jan 27, 20208 then
Private funds: no history
RAUM +24% over the last fiscal year+23% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Jan 27, 2025; every figure names its basis
- RAUM per advisor
- $89.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $388,483derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $272M, 441 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$364M58%
- Individuals$152M24%
- Pension and profit-sharing plans$113M18%
- Charitable organizations$238,4120.0%
- Individual clients
- 313reported
- HNW clients
- 139reported
- Pension plan clients
- 54reported
- Charitable clients
- n/areported
- Accounts
- 1,620reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $272M for 441 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- M••• R••••• D••••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
- B••• A•••••••• H•••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
- S••• V••••• O••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
- B•••• M•••••• J•••••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
- A••• W••••••• M•••••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
- B•••• R•••••• M•••••• to C••••••••• W•••••• L••Aug 29, 2025 · RIA to RIA
Joined, latest
- A••• W••••••• M•••••• from L•• F•••••••• L••Jun 20, 2024 · Other
- M••• R••••• D••••• from A••••••••• F•••••••• S•••••••• L••May 31, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- S••• V••••• O••• from A••••••••• F•••••••• S•••••••• L••May 23, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B••• A•••••••• H•••• from A••••••••• F•••••••• S•••••••• L••May 23, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• M•••••• J•••••• from A••••••••• F•••••••• S•••••••• L••May 23, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- B•••• R•••••• M•••••• from A••••••••• F•••••••• S•••••••• L••May 23, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for C••••••••• W•••••• L••Aug 29, 2025 · Seattle, Wa · Firm absorbed
- 5 joined from A••••••••• F•••••••• S•••••••• L••May 24, 2019 · Seattle, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• B•••• A•••••••• · Chief Financial Officercontrolsince 05/2019 · owns 25% to 50%
- J••••••• B••••• M•••••• · Ceo/Managing Membercontrolsince 05/2019 · owns 25% to 50%
- M•••••••• T•••••• A• · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- O•••• S•••• V••••• · Membercontrolsince 05/2019 · owns 25% to 50%
- M••••••• B••••• R•••••• · Membersince 05/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
- E•••• I••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 0 | 0 | 0 | ||
| Golden, Co | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,502 to 1,620Oct 11, 2024 to Jan 27, 2025
- Advisory employees · 6 to 7Oct 11, 2024 to Jan 27, 2025
- HNW clients · 134 to 139Oct 11, 2024 to Jan 27, 2025
- Individual clients · 306 to 313Oct 11, 2024 to Jan 27, 2025
- Pension plan clients · 42 to 54Oct 11, 2024 to Jan 27, 2025
- Assets in custody · $172M to $272MOct 11, 2024 to Jan 27, 2025
- Employees · 12 to 15Oct 11, 2024 to Jan 27, 2025
- State-registered IARs · 6 to 7Oct 11, 2024 to Jan 27, 2025
- Discretionary RAUM · $422M to $517MOct 11, 2024 to Jan 27, 2025
- HNW RAUM · $303M to $364MOct 11, 2024 to Jan 27, 2025
- Individual RAUM · $118M to $152MOct 11, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $85.9M to $112MOct 11, 2024 to Jan 27, 2025
- Pension RAUM · $86.7M to $113MOct 11, 2024 to Jan 27, 2025
- RAUM · $508M to $629MOct 11, 2024 to Jan 27, 2025
- Accounts · 1,376 to 1,502Feb 21, 2024 to Mar 7, 2024
- Advisory employees · 5 to 6Feb 21, 2024 to Mar 7, 2024
- HNW clients · 127 to 134Feb 21, 2024 to Mar 7, 2024
- Individual clients · 291 to 306Feb 21, 2024 to Mar 7, 2024
- Pension plan clients · 35 to 42Feb 21, 2024 to Mar 7, 2024
- Assets in custody · $202M to $172MFeb 21, 2024 to Mar 7, 2024
- Financial planning clients · 1-10 to 0Feb 21, 2024 to Mar 7, 2024
- Discretionary RAUM · $326M to $422MFeb 21, 2024 to Mar 7, 2024
- HNW RAUM · $241M to $303MFeb 21, 2024 to Mar 7, 2024
- Individual RAUM · $84.5M to $118MFeb 21, 2024 to Mar 7, 2024
- Non-discretionary RAUM · $64.1M to $85.9MFeb 21, 2024 to Mar 7, 2024
- Pension RAUM · $64.1M to $86.7MFeb 21, 2024 to Mar 7, 2024
- RAUM · $390M to $508MFeb 21, 2024 to Mar 7, 2024
- Accounts · 1,182 to 1,376Mar 2, 2022 to Mar 24, 2023
- Advisory employees · 6 to 5Mar 2, 2022 to Mar 24, 2023
- HNW clients · 122 to 127Mar 2, 2022 to Mar 24, 2023
- Individual clients · 272 to 291Mar 2, 2022 to Mar 24, 2023
- Pension plan clients · 16 to 35Mar 2, 2022 to Mar 24, 2023
- Assets in custody · $192M to $202MMar 2, 2022 to Mar 24, 2023
- Financial planning clients · 26-50 to 1-10Mar 2, 2022 to Mar 24, 2023
- Discretionary RAUM · $292M to $326MMar 2, 2022 to Mar 24, 2023
- HNW RAUM · $217M to $241MMar 2, 2022 to Mar 24, 2023
- Individual RAUM · $75.2M to $84.5MMar 2, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $47.4M to $64.1MMar 2, 2022 to Mar 24, 2023
- Pension RAUM · $47.4M to $64.1MMar 2, 2022 to Mar 24, 2023
- RAUM · $339M to $390MMar 2, 2022 to Mar 24, 2023
Signals
10 dated events
- V•••••• G•••• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $629.3M)Sep 2, 2025 · Left the SEC roster · derived
- B•••• R•••••• M•••••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- M••• R••••• D••••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- B•••• M•••••• J•••••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- A••• W••••••• M•••••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- S••• V••••• O••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- B••• A•••••••• H•••• left V•••••• G•••• for C••••••••• W•••••• L•• (registered 2025-03-03)Aug 29, 2025 · Advisor changed firm · fact
- V•••••• G••••'s advisors moved to C••••••••• W•••••• L•• (Seattle, WA): 5 of 6 registered, on the same dayAug 29, 2025 · Firm absorbed (people side) · derived
- V•••••• G•••• reported RAUM $507.6M, up 30% from $389.7M (2024-02-21 to 2024-03-07)Mar 7, 2024 · RAUM change · derived
- D•••• L•• filed its initial SEC registration (Form ADV)Apr 22, 2019 · 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