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••••••••• L••
Latest filing Apr 29, 2026
First filing on the tape May 12, 2020 · 28 filings
SEC status approved since Jun 11, 2020
RAUM
$261M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$255M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$86.9M
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
28 filings and snapshots on the tape
RAUM$261M as of Apr 29, 2026
Mar 30, 2021$54.3M then
HNW client RAUM$239M as of Apr 29, 2026
Mar 30, 2021$54.3M then
State-registered IARs (5.B.3)3 as of Apr 29, 2026
Mar 30, 20213 then
Employees (5.A)4 as of Apr 29, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +8.0% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 29, 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
- RAUM per advisor
- $86.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $732,413derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%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
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $77.6M, 46 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)
- 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$239M92%
- Individuals$16.0M6.1%
- Pension and profit-sharing plans$5.4M2.1%
- Individual clients
- 37reported
- HNW clients
- 49reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 356reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.6M for 46 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•••• L••••• | Leawood, Ks | Jun 11, 2020 | 17 y | 0 |
| R••• M••••••• L••••• | Leawood, Ks | Jul 2, 2020 | 16 y | 0 |
| T••••• W•••••• R••• | Leawood, Ks | Jan 1, 2026 | 31 y | 1 |
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
- T••••• W•••••• R••• from A••••••••• W••••• P•••••••Jan 1, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• D••••• L•••• · Managing Member, Founding Partnercontrolsince 10/2018 · owns 50% to 75%
- L•••••• R•••• M••••••• · Managing Member, Founding Partnercontrolsince 10/2018 · owns 50% to 75%
- R••••••••• J••••••• P••• · Chief Compliance Officercontrolsince 04/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Leawood, Ks · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Long Lake, MN1 employees
What changed
consecutive filings, newest first
- Accounts · 338 to 356May 12, 2025 to Mar 6, 2026
- HNW clients · 46 to 49May 12, 2025 to Mar 6, 2026
- Individual clients · 45 to 37May 12, 2025 to Mar 6, 2026
- Assets in custody · $71.3M to $77.6MMay 12, 2025 to Mar 6, 2026
- Discretionary RAUM · $241M to $261MMay 12, 2025 to Mar 6, 2026
- HNW RAUM · $216M to $239MMay 12, 2025 to Mar 6, 2026
- Individual RAUM · $20.9M to $16.0MMay 12, 2025 to Mar 6, 2026
- Pension RAUM · $4.7M to $5.4MMay 12, 2025 to Mar 6, 2026
- RAUM · $241M to $261MMay 12, 2025 to Mar 6, 2026
- Financial planning clients · 26-50 to 26-50Feb 26, 2025 to May 12, 2025
- Accounts · 308 to 338Nov 4, 2024 to Feb 26, 2025
- HNW clients · 43 to 46Nov 4, 2024 to Feb 26, 2025
- Individual clients · 42 to 45Nov 4, 2024 to Feb 26, 2025
- Assets in custody · $66.7M to $71.3MNov 4, 2024 to Feb 26, 2025
- Discretionary RAUM · $212M to $241MNov 4, 2024 to Feb 26, 2025
- HNW RAUM · $191M to $216MNov 4, 2024 to Feb 26, 2025
- Individual RAUM · $17.1M to $20.9MNov 4, 2024 to Feb 26, 2025
- Pension RAUM · $3.8M to $4.7MNov 4, 2024 to Feb 26, 2025
- RAUM · $212M to $241MNov 4, 2024 to Feb 26, 2025
- Accounts · 292 to 308Oct 24, 2023 to Mar 20, 2024
- Advisory employees · 4 to 3Oct 24, 2023 to Mar 20, 2024
- HNW clients · 40 to 43Oct 24, 2023 to Mar 20, 2024
- Individual clients · 40 to 42Oct 24, 2023 to Mar 20, 2024
- Assets in custody · unset to 66678323.0Oct 24, 2023 to Mar 20, 2024
- Custody of client assets · false to trueOct 24, 2023 to Mar 20, 2024
- Employees · 7 to 4Oct 24, 2023 to Mar 20, 2024
- Financial planning clients · 1-10 to 26-50Oct 24, 2023 to Mar 20, 2024
- State-registered IARs · 4 to 3Oct 24, 2023 to Mar 20, 2024
- Discretionary RAUM · $182M to $212MOct 24, 2023 to Mar 20, 2024
- HNW RAUM · $156M to $191MOct 24, 2023 to Mar 20, 2024
- Individual RAUM · $21.8M to $17.1MOct 24, 2023 to Mar 20, 2024
- Pension RAUM · $3.6M to $3.8MOct 24, 2023 to Mar 20, 2024
- RAUM · $182M to $212MOct 24, 2023 to Mar 20, 2024
- Employees · 8 to 7Oct 10, 2023 to Oct 24, 2023
- Accounts · 79 to 292Nov 30, 2022 to Feb 15, 2023
- Charity clients · 1 to 0Nov 30, 2022 to Feb 15, 2023
- HNW clients · 4 to 40Nov 30, 2022 to Feb 15, 2023
- Individual clients · 73 to 40Nov 30, 2022 to Feb 15, 2023
- Employees · 6 to 8Nov 30, 2022 to Feb 15, 2023
- HQ city · OVERLAND PARK to LEAWOODNov 30, 2022 to Feb 15, 2023
Signals
3 dated events
- William Matthew Zimmerman (Chief Growth Officer) no longer on Schedule A of V••••••••• L•• (listed 2023-04-12, absent 2023-05-18)May 18, 2023 · Control person left · inference
- William Matthew Zimmerman (Chief Growth Officer) appeared on Schedule A of V••••••••• L••Mar 30, 2021 · Control person joined · fact
- V••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 12, 2020 · 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/via-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- viawealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 844-484-7849reportedpublic record, Form ADV, Apr 29, 2026
- Team page
- viawealth.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $86.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026