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•••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 301023SEC 801-115053websiteIAPD
Latest filing Jul 23, 2026
First filing on the tape Mar 22, 2019 · 18 filings
SEC status approved since Apr 19, 2019
RAUM
$957M
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
78
45 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$957M as of Jul 23, 2026
Mar 31, 2023$760M then
HNW client RAUM$0 as of Jul 23, 2026
Mar 30, 2020$0 then
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Mar 30, 20200 then
Employees (5.A)78 as of Jul 23, 2026
Mar 30, 202069 then
Private funds: no history
RAUM +1.0% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 2026; 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
$957MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
+1.0%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Custody
$218M, 1 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$218M for 1 clientsreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• R•••••• J•••• · Treasurercontrol
        since 12/2023 · owns less than 5%
      • L• G•••• N•••••• N•• · Chief Compliance Officercontrol
        since 03/2024 · owns less than 5%
      • O••••• W•••••• J•••• · Presidentcontrol
        since 12/2023 · owns less than 5%
      • H•••••••• D••••••• W••••• · Vice President
        since 12/2023 · owns less than 5%
      • L••••• N••••• E•••• · Secretary
        since 12/2024 · owns less than 5%
      Entity owners
      • V•••••• C•••••• P•••••••• L••• · Managing Member
        direct · owns 75% or more
      • M•• G•••• P•• · Shareholder
        indirect · owns 75% or more of M•• G•••• T••••••• L•••
      • M•• G•••• T••••••• L••• · Shareholder
        indirect · owns 75% or more of M•• W•••••••• O••••••••• M••••••••• L•••
      • M•• I••••••••• H••••••• I••• · Shareholder
        indirect · owns 50% to 75% of M•• T•••• S••••• H••••••• L••
      • M•• I••••••••• U•• H••••••• I••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• H••••••• I•••
      • M•• T•••• S••••• G• L•• · General Partner
        indirect · owns F of V•••••• C•••••• P•••••••• L•••
      • M•• T•••• S••••• H••••••• L•• · Sole L•••••• Partner
        indirect · owns 75% or more of V•••••• C•••••• P•••••••• L•••
      • M•• W•••••••• O••••••••• M••••••••• L••• · Shareholder
        indirect · owns 75% or more of M•• I••••••••• U•• H••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list V•• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL2 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $257M to $218M
        Feb 5, 2026 to Mar 31, 2026
      • Employees · 76 to 78
        Feb 5, 2026 to Mar 31, 2026
      • Discretionary RAUM · $947M to $957M
        Feb 5, 2026 to Mar 31, 2026
      • RAUM · $947M to $957M
        Feb 5, 2026 to Mar 31, 2026
      • Advisory employees · 42 to 45
        Dec 19, 2024 to Apr 21, 2025
      • Assets in custody · $20.0M to $257M
        Dec 19, 2024 to Apr 21, 2025
      • Employees · 70 to 76
        Dec 19, 2024 to Apr 21, 2025
      • Financial planning clients · unset to
        Dec 19, 2024 to Apr 21, 2025
      • Other offices · 3 to 4
        Dec 19, 2024 to Apr 21, 2025
      • Discretionary RAUM · $779M to $947M
        Dec 19, 2024 to Apr 21, 2025
      • RAUM · $779M to $947M
        Dec 19, 2024 to Apr 21, 2025
      • Advisory employees · 46 to 42
        Dec 22, 2023 to Mar 29, 2024
      • BD registered reps · 4 to 0
        Dec 22, 2023 to Mar 29, 2024
      • Assets in custody · $20.4M to $20.0M
        Dec 22, 2023 to Mar 29, 2024
      • Employees · 81 to 70
        Dec 22, 2023 to Mar 29, 2024
      • Discretionary RAUM · $760M to $779M
        Dec 22, 2023 to Mar 29, 2024
      • RAUM · $760M to $779M
        Dec 22, 2023 to Mar 29, 2024
      • Related bank · false to true
        Mar 31, 2023 to Sep 15, 2023
      • Accounts · unset to 1.0
        Dec 6, 2022 to Mar 31, 2023
      • Advisory employees · 45 to 46
        Dec 6, 2022 to Mar 31, 2023
      • Assets in custody · unset to 20416244.0
        Dec 6, 2022 to Mar 31, 2023
      • Custody of client assets · false to true
        Dec 6, 2022 to Mar 31, 2023
      • Employees · 80 to 81
        Dec 6, 2022 to Mar 31, 2023
      • Discretionary RAUM · unset to 760032438.0
        Dec 6, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · unset to 0.0
        Dec 6, 2022 to Mar 31, 2023
      • RAUM · unset to 760032438.0
        Dec 6, 2022 to Mar 31, 2023
      • Advisory employees · 47 to 45
        Mar 31, 2021 to Mar 31, 2022
      • BD registered reps · 2 to 4
        Mar 31, 2021 to Mar 31, 2022
      • Advisory employees · 44 to 47
        Mar 30, 2020 to Mar 31, 2021
      • BD registered reps · 0 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 69 to 80
        Mar 30, 2020 to Mar 31, 2021
      • Other offices · 2 to 3
        Mar 30, 2020 to Mar 31, 2021
      • Related bank · true to false
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 42 to 44
        Mar 9, 2020 to Mar 30, 2020
      • Employees · 65 to 69
        Mar 9, 2020 to Mar 30, 2020
      Signals
      27 dated events
      • Rudolph George Talarico (Chief Compliance Officer) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-12-22, absent 2024-03-29)
        Mar 29, 2024 · Control person left · inference
      • Nmn Nadine Le Gall (Chief Compliance Officer) appeared on Schedule A of V•• A•••••••• L••
        Mar 29, 2024 · Control person joined · fact
      • A•••• F••••••••• (General Counsel) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-09-29, absent 2023-12-22)
        Dec 22, 2023 · Control person left · inference
      • Jean Lorri White (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • Wolf Morris Offit (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • Anthony Michael Gaudino (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • Mark Eric Kirsch (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • Eugene Bradley Dyslin (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • F Charles Riceman (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • T••••• D•••••• H•••• (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2023-03-31, absent 2023-09-15)
        Sep 15, 2023 · Control person left · inference
      • Neal Geoffrey Cornell (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2022-12-06, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • A•••• F••••••••• (General Counsel) appeared on Schedule A of V•• A•••••••• L••
        Mar 31, 2023 · Control person joined · fact
      • Rudolph George Talarico (Chief Compliance Officer) appeared on Schedule A of V•• A•••••••• L••
        Dec 6, 2022 · Control person joined · fact
      • Viravyne Chhim (Chief Compliance Officer) no longer on Schedule A of V•• A•••••••• L•• (listed 2022-03-31, absent 2022-12-06)
        Dec 6, 2022 · Control person left · inference
      • Viravyne Chhim (Chief Compliance Officer) appeared on Schedule A of V•• A•••••••• L••
        Mar 31, 2022 · Control person joined · fact
      • A•••• F••••••••• (Secretary, Chief Compliance Officer) no longer on Schedule A of V•• A•••••••• L•• (listed 2021-03-31, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Harris Brett Shapiro (Head Of Business Development) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • James Denis Nayden (Managing Member) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • Richard John Monsky (Managing Member) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • Macrae D•••••• Kaden (Managing Member) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • Bennett Steven Gruber (Managing Member) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • Edward Darell Etlinger (Director) no longer on Schedule A of V•• A•••••••• L•• (listed 2019-03-22, absent 2020-03-09)
        Mar 9, 2020 · Control person left · inference
      • Mark Eric Kirsch (Director) appeared on Schedule A of V•• A•••••••• L••
        Mar 9, 2020 · Control person joined · fact
      • Eugene Bradley Dyslin (Director) appeared on Schedule A of V•• A•••••••• L••
        Mar 9, 2020 · Control person joined · fact
      • F Charles Riceman (Director) appeared on Schedule A of V•• A•••••••• L••
        Mar 9, 2020 · Control person joined · fact
      • T••••• D•••••• H•••• (Director) appeared on Schedule A of V•• A•••••••• L••
        Mar 9, 2020 · Control person joined · fact
      • V•• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 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
      Website
      man.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-303-9400reportedpublic record, Form ADV, Jul 23, 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
      Asset manager (funds and pooled vehicles)deriveda 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