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•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Aug 7, 2020 · 10 filings
SEC status approved since Sep 8, 2020
RAUM
$512M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
55%
$283M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$256M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$512M as of Mar 30, 2026
Jan 8, 2021$347M then
HNW client RAUM$276M as of Mar 30, 2026
Jan 8, 2021$180M then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Jan 8, 20212 then
Employees (5.A)3 as of Mar 30, 2026
Jan 8, 20213 then
Private funds1 as of Mar 30, 2026
Jan 8, 20211 then
RAUM +19% over the last fiscal year+22% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $256MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $6.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$276M54%
- Pooled investment vehicles$209M41%
- Charitable organizations$14.2M2.8%
- Individuals$7.8M1.5%
- Corporations and businesses$5.2M1.0%
- Individual clients
- 13reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 82reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.55 fund_share=0.41 institutional_share=0.03 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 |
|---|---|---|---|---|
| C••••••••• W•••••• M•••••• | Pittsburgh, Pa | Sep 28, 2020 | 18 y | 1 |
| D•••• R••••• F•••••••Chartered Financial Analyst | Pittsburgh, Pa | Sep 28, 2020 | 25 y | 2 |
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
none on the tape
Joined, latest
- C••••••••• W•••••• M•••••• from Q••••• C•••••• M••••••••• C•••Sep 28, 2020 · Other
- D•••• R••••• F••••••• from R••••••••• C•••••• M••••••••• L••Sep 28, 2020 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| V•••••• C•••••• P••••••• L• | Hedge Fund | $154M | 46 | Aug 7, 2020 |
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••••• W•••••• · Managercontrolsince 10/2013 · owns 75% or more
- F•••••••• D••••• R••••• · Chief Compliance Officersince 08/2020 · owns less than 5%
Related persons
Schedule D 7.A
- V•••••• G• L•pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 76 to 82Mar 28, 2025 to Mar 30, 2026
- HNW clients · 57 to 65Mar 28, 2025 to Mar 30, 2026
- Individual clients · 15 to 13Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $428M to $512MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $214M to $276MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $7.1M to $7.8MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $184M to $209MMar 28, 2025 to Mar 30, 2026
- RAUM · $428M to $512MMar 28, 2025 to Mar 30, 2026
- Accounts · 79 to 76Mar 22, 2024 to Mar 28, 2025
- HNW clients · 59 to 57Mar 22, 2024 to Mar 28, 2025
- Individual clients · 16 to 15Mar 22, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 22, 2024 to Mar 28, 2025
- Other offices · 0 to 1Mar 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $368M to $428MMar 22, 2024 to Mar 28, 2025
- HNW RAUM · $188M to $214MMar 22, 2024 to Mar 28, 2025
- Individual RAUM · $6.9M to $7.1MMar 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $154M to $184MMar 22, 2024 to Mar 28, 2025
- RAUM · $368M to $428MMar 22, 2024 to Mar 28, 2025
- Accounts · 81 to 79Mar 29, 2023 to Mar 22, 2024
- Individual clients · 17 to 16Mar 29, 2023 to Mar 22, 2024
- Pension plan clients · 1.0 to unsetMar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $282M to $368MMar 29, 2023 to Mar 22, 2024
- HNW RAUM · $133M to $188MMar 29, 2023 to Mar 22, 2024
- Individual RAUM · $4.7M to $6.9MMar 29, 2023 to Mar 22, 2024
- Pension RAUM · 1677014.0 to unsetMar 29, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $130M to $154MMar 29, 2023 to Mar 22, 2024
- RAUM · $282M to $368MMar 29, 2023 to Mar 22, 2024
- Accounts · 87 to 81Jul 5, 2022 to Mar 29, 2023
- HNW clients · 64 to 59Jul 5, 2022 to Mar 29, 2023
- Individual clients · 18 to 17Jul 5, 2022 to Mar 29, 2023
- Discretionary RAUM · $411M to $282MJul 5, 2022 to Mar 29, 2023
- HNW RAUM · $213M to $133MJul 5, 2022 to Mar 29, 2023
- Individual RAUM · $7.4M to $4.7MJul 5, 2022 to Mar 29, 2023
- Pension RAUM · $3.9M to $1.7MJul 5, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $167M to $130MJul 5, 2022 to Mar 29, 2023
- RAUM · $411M to $282MJul 5, 2022 to Mar 29, 2023
- Accounts · 80 to 87Mar 17, 2021 to Mar 30, 2022
- HNW clients · 58 to 64Mar 17, 2021 to Mar 30, 2022
- Individual clients · 17 to 18Mar 17, 2021 to Mar 30, 2022
- Discretionary RAUM · $347M to $411MMar 17, 2021 to Mar 30, 2022
Signals
3 dated events
- V•••••• M••••••••• L•• reported RAUM $281.5M, down 32% from $411.2M (2022-07-05 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- V•••••• M••••••••• L•• reported RAUM $347.5M, up 262% from $96.1M (2020-08-12 to 2021-01-08)Jan 8, 2021 · RAUM change · derived
- V•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 7, 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
- Business phone
- 412-586-3747reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- v•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 412-586-3747reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- v•••••••••.comreportedpublished 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
- $256Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026