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.
SEC-registered adviser
Vauban Wealth Management
Latest filing Mar 30, 2026
First filing on the tape Oct 11, 2019 · 13 filings
SEC status approved since Nov 8, 2019
RAUM
$181M
reported, Item 5.F
Discretionary
15%
of RAUM
Private clients
98%
$177M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.6M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$181M as of Mar 30, 2026
Mar 31, 2020$149M then
HNW client RAUM$166M as of Mar 30, 2026
Mar 31, 2020$138M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 31, 20202 then
Employees (5.A)2 as of Mar 30, 2026
Mar 31, 20202 then
Private funds: no history
RAUM +22% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$166M92%
- Individuals$10.7M5.9%
- Corporations and businesses$4.4M2.5%
- Individual clients
- 28reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 59reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Goel Andres Velazquez Rosa | Guaynabo, Pr | Nov 15, 2019 | 17 y | 0 |
| Manuel Melendez Vazquez | Guaynabo, Pr | Dec 12, 2025 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Mariela Torres to Oriental Financial Services LLCMay 31, 2022 · RIA to RIA
Joined, latest
- Mariela Torres from Bnc International Advisors Inc.Nov 8, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jean Andre Hubert Francois-Poncet · Chairmancontrolsince 07/2019 · owns less than 5%
- Andres Goel Velazquez Rosa · Manager/ Cfo/ Cco/ Investment Advisor Representativecontrolsince 01/2020 · owns less than 5%
- Jean Andre Hubert Francois-Poncet · Shareholdercontrolsince 06/2015 · owns 75% or more of Laperouse Ltd
Entity owners
- Laperouse Ltd · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Vauban International Bank, Corporationcustodiann
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Guaynabo, Pr · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 50 to 59Mar 30, 2025 to Mar 30, 2026
- Corporate clients · 1 to 2Mar 30, 2025 to Mar 30, 2026
- HNW clients · 25 to 29Mar 30, 2025 to Mar 30, 2026
- Individual clients · 24 to 28Mar 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $17.6M to $27.4MMar 30, 2025 to Mar 30, 2026
- HNW RAUM · $139M to $166MMar 30, 2025 to Mar 30, 2026
- Individual RAUM · $9.3M to $10.7MMar 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $131M to $154MMar 30, 2025 to Mar 30, 2026
- RAUM · $149M to $181MMar 30, 2025 to Mar 30, 2026
- Accounts · 51 to 50Mar 29, 2024 to Mar 30, 2025
- HNW clients · 26 to 25Mar 29, 2024 to Mar 30, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $17.8M to $17.6MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $137M to $139MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $9.2M to $9.3MMar 29, 2024 to Mar 30, 2025
- Non-discretionary RAUM · $129M to $131MMar 29, 2024 to Mar 30, 2025
- RAUM · $146M to $149MMar 29, 2024 to Mar 30, 2025
- Accounts · 49 to 51Dec 6, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0Dec 6, 2023 to Mar 29, 2024
- HNW clients · 19 to 26Dec 6, 2023 to Mar 29, 2024
- Individual clients · 29 to 24Dec 6, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 1Dec 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $16.2M to $17.8MDec 6, 2023 to Mar 29, 2024
- HNW RAUM · $118M to $137MDec 6, 2023 to Mar 29, 2024
- Individual RAUM · $12.2M to $9.2MDec 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $115M to $129MDec 6, 2023 to Mar 29, 2024
- RAUM · $131M to $146MDec 6, 2023 to Mar 29, 2024
- Accounts · 52 to 49Mar 31, 2022 to Apr 3, 2023
- Corporate clients · 2 to 1Mar 31, 2022 to Apr 3, 2023
- HNW clients · 27 to 19Mar 31, 2022 to Apr 3, 2023
- Individual clients · 21 to 29Mar 31, 2022 to Apr 3, 2023
- Discretionary RAUM · $19.9M to $16.2MMar 31, 2022 to Apr 3, 2023
- HNW RAUM · $135M to $118MMar 31, 2022 to Apr 3, 2023
- Individual RAUM · $9.0M to $12.2MMar 31, 2022 to Apr 3, 2023
- Non-discretionary RAUM · $144M to $115MMar 31, 2022 to Apr 3, 2023
- RAUM · $164M to $131MMar 31, 2022 to Apr 3, 2023
- Accounts · 50 to 52Mar 29, 2021 to Mar 31, 2022
- HNW clients · 21 to 27Mar 29, 2021 to Mar 31, 2022
- Individual clients · 27 to 21Mar 29, 2021 to Mar 31, 2022
- Discretionary RAUM · $20.8M to $19.9MMar 29, 2021 to Mar 31, 2022
Signals
4 dated events
- Mariela Torres left Vauban Wealth Management for Oriental Financial Services Llc (registered 2022-06-02)May 31, 2022 · Advisor changed firm · fact
- Mariela Torres (Cco) no longer on Schedule A of Vauban Wealth Management (listed 2021-03-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Andres Goel Velazquez Rosa (Investment Advisor Representative/Cfo) appeared on Schedule A of Vauban Wealth ManagementMar 7, 2020 · Control person joined · fact
- Vauban Wealth Management filed its initial SEC registration (Form ADV)Oct 11, 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
- Principal office phone
- 1-787-425-0035/0036reportedpublic record, Form ADV, Mar 30, 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
- $90.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026