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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
V•••• I••••••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Feb 22, 2019 · 21 filings
SEC status approved since Mar 22, 2019
RAUM
$284M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$281M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$56.8M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$284M as of Mar 2, 2026
Mar 9, 2020$110M then
HNW client RAUM$206M as of Mar 2, 2026
Mar 9, 2020$78.1M then
State-registered IARs (5.B.3)5 as of Mar 2, 2026
Mar 9, 20201 then
Employees (5.A)8 as of Mar 2, 2026
Mar 9, 20202 then
Private funds: no history
RAUM +25% over the last fiscal year+22% a year over threeIARs 4 to 5offices 0 to 1
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $56.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $294,545derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +28%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $4.2M, 24 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$206M72%
- Individuals$75.4M27%
- Pension and profit-sharing plans$2.7M0.9%
- Individual clients
- 292reported
- HNW clients
- 99reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 964reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.2M for 24 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• E• E•••Certified Financial Planner | Loveland, Co | Mar 22, 2019 | 14 y | 2 |
| B•••• D••••• N••••••• | Loveland, Co | Aug 23, 2021 | 11 y | 0 |
| D••••• P••••• G•••••• | Loveland, Co | Mar 3, 2022 | 10 y | 0 |
| C•••• M• B••••••Certified Financial Planner | Loveland, Co | Jun 13, 2024 | 20 y | 0 |
| A••••• S•••• T••••••• | Loveland, Co | Dec 10, 2025 | 30 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• S•••• T••••••• from F••••••• P••••••• T•••• C••••••• F••Dec 10, 2025 · Other
- D•••• E• E••• from C••••••• F•••••••• M••••••••• L••Mar 22, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••• D••••• E• · Managing Member And Chief Compliance Officercontrolsince 02/2019 · 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 |
|---|---|---|---|---|---|
| Loveland, Co · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 50.0% to 72.0% between the annual amendments of 2025-03-31 and 2026-03-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 2, 2026 to Sep 10, 2026
- Other offices · 0 to 1Mar 2, 2026 to Sep 10, 2026
- Related adviser · false to unsetMar 2, 2026 to Sep 10, 2026
- Related bank · false to unsetMar 2, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetMar 2, 2026 to Sep 10, 2026
- Related insurance company · false to unsetMar 2, 2026 to Sep 10, 2026
- Succession · false to unsetMar 2, 2026 to Sep 10, 2026
- Accounts · 951 to 964Nov 19, 2025 to Mar 2, 2026
- Advisory employees · 4 to 5Nov 19, 2025 to Mar 2, 2026
- HNW clients · 82 to 99Nov 19, 2025 to Mar 2, 2026
- Individual clients · 224 to 292Nov 19, 2025 to Mar 2, 2026
- Employees · 6 to 8Nov 19, 2025 to Mar 2, 2026
- State-registered IARs · 4 to 5Nov 19, 2025 to Mar 2, 2026
- Discretionary RAUM · $224M to $280MNov 19, 2025 to Mar 2, 2026
- HNW RAUM · $114M to $206MNov 19, 2025 to Mar 2, 2026
- Individual RAUM · $111M to $75.4MNov 19, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $3.6M to $4.2MNov 19, 2025 to Mar 2, 2026
- Pension RAUM · $2.5M to $2.7MNov 19, 2025 to Mar 2, 2026
- RAUM · $228M to $284MNov 19, 2025 to Mar 2, 2026
- Accounts · 744 to 951Jun 25, 2024 to Mar 31, 2025
- Advisory employees · 3 to 4Jun 25, 2024 to Mar 31, 2025
- HNW clients · 71 to 82Jun 25, 2024 to Mar 31, 2025
- Individual clients · 235 to 224Jun 25, 2024 to Mar 31, 2025
- Assets in custody · $4.1M to $4.2MJun 25, 2024 to Mar 31, 2025
- Employees · 5 to 6Jun 25, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Jun 25, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 4Jun 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $192M to $224MJun 25, 2024 to Mar 31, 2025
- HNW RAUM · $115M to $114MJun 25, 2024 to Mar 31, 2025
- Individual RAUM · $78.6M to $111MJun 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $3.2M to $3.6MJun 25, 2024 to Mar 31, 2025
- Pension RAUM · $1.8M to $2.5MJun 25, 2024 to Mar 31, 2025
- RAUM · $195M to $228MJun 25, 2024 to Mar 31, 2025
- Accounts · 622 to 744Mar 17, 2023 to Mar 18, 2024
- HNW clients · 64 to 71Mar 17, 2023 to Mar 18, 2024
- Individual clients · 185 to 235Mar 17, 2023 to Mar 18, 2024
- Pension plan clients · 7 to 8Mar 17, 2023 to Mar 18, 2024
- Assets in custody · $3.3M to $4.1MMar 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $157M to $192MMar 17, 2023 to Mar 18, 2024
- HNW RAUM · $103M to $115MMar 17, 2023 to Mar 18, 2024
Signals
1 dated events
- V•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/vital-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- VIMadvisor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 970-776-3316reportedpublic record, Form ADV, Sep 10, 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
- $56.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026