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•••••• W••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 22, 2021 · 8 filings
SEC status approved since Jul 20, 2021
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$128M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$151M as of Mar 31, 2026
Mar 30, 2022$128M then
HNW client RAUM$125M as of Mar 31, 2026
Mar 30, 2022$104M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 30, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Mar 30, 20222 then
Private funds: no history
RAUM +11% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $75.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$125M83%
- Charitable organizations$16.7M11%
- Pension and profit-sharing plans$6.1M4.0%
- Individuals$2.9M1.9%
- Individual clients
- 9reported
- HNW clients
- 32reported
- 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, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 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 |
|---|---|---|---|---|
| E•••••• F•••••••Certified Financial Planner | San Mateo, Ca | Aug 12, 2021 | 31 y | 2 |
| C••••••••• M•••••• C••••• | Austin, Tx | Apr 16, 2022 | 32 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••••••••• M•••••• C••••• from G••••••• I••••••••• L••Apr 16, 2022 · Other
- E•••••• F••••••• from G••••••• I••••••••• L••Aug 12, 2021 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G••••••• I••••••••• L••Dec 31, 2017 · Anaheim, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 08/2021 · owns 50% to 75%
- F•••••••• E•••••• · Managing Membercontrolsince 08/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Mateo, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX1 employees
- Newport Beach, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 114 to 123Mar 18, 2025 to Mar 31, 2026
- Individual clients · 11 to 9Mar 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $136M to $151MMar 18, 2025 to Mar 31, 2026
- HNW RAUM · $112M to $125MMar 18, 2025 to Mar 31, 2026
- Individual RAUM · $4.2M to $2.9MMar 18, 2025 to Mar 31, 2026
- Pension RAUM · $3.6M to $6.1MMar 18, 2025 to Mar 31, 2026
- RAUM · $136M to $151MMar 18, 2025 to Mar 31, 2026
- Accounts · 111 to 114Mar 18, 2024 to Mar 18, 2025
- HNW clients · 34 to 32Mar 18, 2024 to Mar 18, 2025
- Individual clients · 10 to 11Mar 18, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Mar 18, 2025
- HQ city · unset to Mar 18, 2024 to Mar 18, 2025
- HQ state · unset to Mar 18, 2024 to Mar 18, 2025
- Discretionary RAUM · $120M to $136MMar 18, 2024 to Mar 18, 2025
- HNW RAUM · $99.4M to $112MMar 18, 2024 to Mar 18, 2025
- Individual RAUM · $3.2M to $4.2MMar 18, 2024 to Mar 18, 2025
- Pension RAUM · $3.2M to $3.6MMar 18, 2024 to Mar 18, 2025
- RAUM · $120M to $136MMar 18, 2024 to Mar 18, 2025
- Accounts · 46 to 111Mar 20, 2023 to Mar 18, 2024
- Individual clients · 12 to 10Mar 20, 2023 to Mar 18, 2024
- State-registered IARs · 1 to 2Mar 20, 2023 to Mar 18, 2024
- Other offices · 1 to 3Mar 20, 2023 to Mar 18, 2024
- Discretionary RAUM · $112M to $120MMar 20, 2023 to Mar 18, 2024
- HNW RAUM · $91.4M to $99.4MMar 20, 2023 to Mar 18, 2024
- Individual RAUM · $3.1M to $3.2MMar 20, 2023 to Mar 18, 2024
- Pension RAUM · $3.0M to $3.2MMar 20, 2023 to Mar 18, 2024
- RAUM · $112M to $120MMar 20, 2023 to Mar 18, 2024
- Accounts · 125 to 46Mar 30, 2022 to Mar 20, 2023
- Discretionary RAUM · $128M to $112MMar 30, 2022 to Mar 20, 2023
- HNW RAUM · $104M to $91.4MMar 30, 2022 to Mar 20, 2023
- Individual RAUM · $2.9M to $3.1MMar 30, 2022 to Mar 20, 2023
- Pension RAUM · $3.3M to $3.0MMar 30, 2022 to Mar 20, 2023
- RAUM · $128M to $112MMar 30, 2022 to Mar 20, 2023
- Accounts · 119 to 125Oct 21, 2021 to Mar 30, 2022
- Financial planning clients · 0 to 1-10Oct 21, 2021 to Mar 30, 2022
- Discretionary RAUM · $125M to $128MOct 21, 2021 to Mar 30, 2022
- HNW RAUM · $102M to $104MOct 21, 2021 to Mar 30, 2022
- Individual RAUM · $2.8M to $2.9MOct 21, 2021 to Mar 30, 2022
- Pension RAUM · $3.2M to $3.3MOct 21, 2021 to Mar 30, 2022
- RAUM · $125M to $128MOct 21, 2021 to Mar 30, 2022
Signals
4 dated events
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of V•••••• W••••• P•••••••• L•• (listed 2021-06-22, absent 2021-08-12)Aug 12, 2021 · Control person left · inference
- E•••••• F••••••• (Managing Member) appeared on Schedule A of V•••••• W••••• P•••••••• L••Aug 12, 2021 · Control person joined · fact
- Michael Christopher Caruso (Managing Member And Chief Compliance Officer) appeared on Schedule A of V•••••• W••••• P•••••••• L••Aug 12, 2021 · Control person joined · fact
- S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 22, 2021 · 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 email
- info@veritaswp.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-823-2705reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-261-3174reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- veritaswp.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 823-2705reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- veritaswp.com/who-we-arereportedpublished 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
- $75.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026