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.
Former SEC-registered adviser
V••• A••••••• S•••••••• I••
Latest filing Jun 29, 2020
First filing on the tape Aug 2, 2019 · 6 filings
RAUM
$32.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$32.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$32.5M as of Jun 29, 2020
Aug 2, 2019$0 then
HNW client RAUM$12.4M as of Jun 29, 2020
Apr 16, 2020$12.4M then
State-registered IARs (5.B.3)3 as of Jun 29, 2020
Aug 2, 20193 then
Employees (5.A)4 as of Jun 29, 2020
Aug 2, 20194 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
- RAUM per advisor
- $10.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $264,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$20.1M62%
- High-net-worth individuals$12.4M38%
- Individual clients
- 67reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 123reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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•••••• W••••• R••••• to T••• N•••• W••••• S•••••••••Dec 31, 2020 · Other
Joined, latest
- M•••••• W••••• R••••• from P•• S••••••••• L••Oct 23, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• D••••• C•••••• · President & Ccocontrolsince 07/2019 · owns 50% to 75%
- L••••• J•••• W•••••• · Portfolio Managercontrolsince 07/2019 · owns 10% to 25%
- R•••••• M••••••• W••••• · Chief Operating Officecontrolsince 10/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- H•• S•••••• A•••• M••••••••• I•••investment advisernRAUM $17.8M
Offices
Schedule D 1.F, the 25 largest
- Hot S•••••• Village, AR2 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueApr 22, 2020 to May 13, 2020
- Accounts · 0 to 123Aug 2, 2019 to Apr 16, 2020
- HNW clients · unset to 5.0Aug 2, 2019 to Apr 16, 2020
- Individual clients · unset to 67.0Aug 2, 2019 to Apr 16, 2020
- Discretionary RAUM · $0 to $32.5MAug 2, 2019 to Apr 16, 2020
- HNW RAUM · unset to 12408000.0Aug 2, 2019 to Apr 16, 2020
- Individual RAUM · unset to 20087000.0Aug 2, 2019 to Apr 16, 2020
- RAUM · $0 to $32.5MAug 2, 2019 to Apr 16, 2020
- Related insurance company · false to trueAug 2, 2019 to Apr 16, 2020
Signals
2 dated events
- Walton Michael Rogers (Chief Operating Office) appeared on Schedule A of V••• A••••••• S•••••••• I••Apr 16, 2020 · Control person joined · fact
- V••• A••••••• S•••••••• I•• filed its initial SEC registration (Form ADV)Aug 2, 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