DFX Intelligence
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Former SEC-registered adviser
V••••••• L••
Latest filing Feb 16, 2023
First filing on the tape Oct 21, 2020 · 6 filings
RAUM
$359M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
84%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$359M as of Feb 16, 2023
Mar 12, 2021$458M then
HNW client RAUM$300M as of Feb 16, 2023
Mar 12, 2021$458M then
State-registered IARs (5.B.3)0 as of Feb 16, 2023
Mar 12, 20210 then
Employees (5.A)3 as of Feb 16, 2023
Mar 12, 20213 then
Private funds: no history
RAUM -24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 16, 2023; 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
- $33.4MderivedHNW RAUM over HNW clients
- Average account
- $35.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 12%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$300M84%
- Investment companies$59.2M16%
- Individual clients
- n/areported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
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•••••••• B••••••• S•••• · Managing Partner/Chief Compliance Officercontrolsince 10/2020 · owns 25% to 50%
- O•••••• J••••••• · Managing Partnercontrolsince 10/2020 · owns 25% to 50%
- W••••• R••••• B••• · Chief Technology Officersince 10/2020 · owns 10% to 25%
Entity owners
- C••••••••• P••••••• I••••••••• L••• S••••• 5• V••••••• · Partnerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 10Dec 6, 2022 to Feb 16, 2023
- HNW clients · 5 to 9Dec 6, 2022 to Feb 16, 2023
- Discretionary RAUM · $45.6M to $44.4MDec 6, 2022 to Feb 16, 2023
- HNW RAUM · $279M to $300MDec 6, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $332M to $315MDec 6, 2022 to Feb 16, 2023
- RAUM · $378M to $359MDec 6, 2022 to Feb 16, 2023
- Accounts · 3 to 6Jan 12, 2022 to Dec 6, 2022
- Advisory activities · 2 to 3Jan 12, 2022 to Dec 6, 2022
- HNW clients · 3 to 5Jan 12, 2022 to Dec 6, 2022
- Discretionary RAUM · $49.4M to $45.6MJan 12, 2022 to Dec 6, 2022
- HNW RAUM · $476M to $279MJan 12, 2022 to Dec 6, 2022
- Non-discretionary RAUM · $426M to $332MJan 12, 2022 to Dec 6, 2022
- RAUM · $476M to $378MJan 12, 2022 to Dec 6, 2022
- Accounts · 1 to 3Mar 12, 2021 to Jan 12, 2022
- HNW clients · 1 to 3Mar 12, 2021 to Jan 12, 2022
- Discretionary RAUM · $0 to $49.4MMar 12, 2021 to Jan 12, 2022
- HNW RAUM · $458M to $476MMar 12, 2021 to Jan 12, 2022
- Non-discretionary RAUM · $458M to $426MMar 12, 2021 to Jan 12, 2022
- RAUM · $458M to $476MMar 12, 2021 to Jan 12, 2022
- Accounts · 0 to 1Oct 26, 2020 to Mar 12, 2021
- HNW clients · unset to 1.0Oct 26, 2020 to Mar 12, 2021
- HQ city · unset to WESTPORTOct 26, 2020 to Mar 12, 2021
- HQ state · unset to CTOct 26, 2020 to Mar 12, 2021
- HNW RAUM · unset to 457665881.0Oct 26, 2020 to Mar 12, 2021
- Non-discretionary RAUM · $0 to $458MOct 26, 2020 to Mar 12, 2021
- RAUM · $0 to $458MOct 26, 2020 to Mar 12, 2021
Signals
1 dated events
- V••••••• L•• filed its initial SEC registration (Form ADV)Oct 21, 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.
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