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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
V••••• F•••••••• G••••
Legal name V••••• F•••••••• G••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Jan 14, 2021 · 14 filings
SEC status approved since Feb 16, 2021
RAUM
$287M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$281M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$71.8M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$287M as of Mar 20, 2026
Mar 25, 2022$165M then
HNW client RAUM$121M as of Mar 20, 2026
Mar 25, 2022$25.7M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Mar 25, 20225 then
Employees (5.A)6 as of Mar 20, 2026
Mar 25, 20225 then
Private funds: no history
RAUM +21% over the last fiscal year+21% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $71.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $310,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $280MreportedItem 5.I
- Custody
- $17.2M, 22 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$160M56%
- High-net-worth individuals$121M42%
- Corporations and businesses$5.5M1.9%
- Charitable organizations$343,6360.1%
- Individual clients
- 435reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 925reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $17.2M for 22 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- M••••• F•••••• L••••••••• to M••• S••••• F•••••••• S••••••••• L••Jun 18, 2026 · RIA to RIA
Joined, latest
- M••••• F•••••• L••••••••• from H• B•••• I•••Apr 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- K•••• S••••• M•••••• from H• B•••• I•••Apr 15, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• T• D••••••• from H• B•••• I•••Apr 14, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- E••••• S• W••••••• from H• B•••• I•••Apr 13, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from H• B•••• I•••Mar 31, 2021 · Flourtown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• K••••• S••••• · Principalcontrolsince 01/2021 · owns 50% to 75%
- W•••••••• E•••••• S•••••• · Managing Member/Ccocontrolsince 01/2021 · 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 |
|---|---|---|---|---|---|
| Ambler, Pa · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 821 to 925Mar 31, 2025 to Mar 20, 2026
- HNW clients · 68 to 73Mar 31, 2025 to Mar 20, 2026
- Individual clients · 404 to 435Mar 31, 2025 to Mar 20, 2026
- Assets in custody · $10.5M to $17.2MMar 31, 2025 to Mar 20, 2026
- Discretionary RAUM · $238M to $287MMar 31, 2025 to Mar 20, 2026
- HNW RAUM · $102M to $121MMar 31, 2025 to Mar 20, 2026
- Individual RAUM · $134M to $160MMar 31, 2025 to Mar 20, 2026
- RAUM · $238M to $287MMar 31, 2025 to Mar 20, 2026
- Accounts · 739 to 821Mar 25, 2024 to Mar 31, 2025
- BD registered reps · 1 to 2Mar 25, 2024 to Mar 31, 2025
- HNW clients · 53 to 68Mar 25, 2024 to Mar 31, 2025
- Individual clients · 388 to 404Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $16.3M to $10.5MMar 25, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $197M to $238MMar 25, 2024 to Mar 31, 2025
- HNW RAUM · $63.9M to $102MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $126M to $134MMar 25, 2024 to Mar 31, 2025
- RAUM · $197M to $238MMar 25, 2024 to Mar 31, 2025
- Accounts · 684 to 739Mar 8, 2023 to Mar 24, 2024
- HNW clients · 13 to 53Mar 8, 2023 to Mar 24, 2024
- Individual clients · 390 to 388Mar 8, 2023 to Mar 24, 2024
- Assets in custody · $507,571 to $16.3MMar 8, 2023 to Mar 24, 2024
- HQ city · FLOURTOWN to AMBLERMar 8, 2023 to Mar 24, 2024
- Discretionary RAUM · $162M to $197MMar 8, 2023 to Mar 24, 2024
- HNW RAUM · $16.7M to $63.9MMar 8, 2023 to Mar 24, 2024
- Individual RAUM · $142M to $126MMar 8, 2023 to Mar 24, 2024
- RAUM · $162M to $197MMar 8, 2023 to Mar 24, 2024
- Accounts · 643 to 684Mar 25, 2022 to Mar 8, 2023
- HNW clients · 21 to 13Mar 25, 2022 to Mar 8, 2023
- Individual clients · 378 to 390Mar 25, 2022 to Mar 8, 2023
- Assets in custody · $7.5M to $507,571Mar 25, 2022 to Mar 8, 2023
- Employees · 5 to 6Mar 25, 2022 to Mar 8, 2023
- Discretionary RAUM · $165M to $162MMar 25, 2022 to Mar 8, 2023
- HNW RAUM · $25.7M to $16.7MMar 25, 2022 to Mar 8, 2023
- Individual RAUM · $136M to $142MMar 25, 2022 to Mar 8, 2023
- RAUM · $165M to $162MMar 25, 2022 to Mar 8, 2023
- Accounts · 498 to 643Dec 2, 2021 to Mar 25, 2022
- Advisory employees · 1 to 5Dec 2, 2021 to Mar 25, 2022
- BD registered reps · 0 to 1Dec 2, 2021 to Mar 25, 2022
- HNW clients · 30 to 21Dec 2, 2021 to Mar 25, 2022
Signals
5 dated events
- M••••• F•••••• L••••••••• left V••••• F•••••••• G•••• for M••• S••••• F•••••••• S••••••••• L•• (registered 2026-06-15)Jun 18, 2026 · Advisor changed firm · fact
- Steven Kevin Mcgarry (Principal) appeared on Schedule A of V••••• F•••••••• G••••Jan 19, 2021 · Control person joined · fact
- Stanley E••••• W••••••• (Managing Member/Cco) appeared on Schedule A of V••••• F•••••••• G••••Jan 15, 2021 · Control person joined · fact
- Cooper Ashleigh Swayze (Chief Compliance Officer) no longer on Schedule A of V••••• F•••••••• G•••• (listed 2021-01-14, absent 2021-01-15)Jan 15, 2021 · Control person left · inference
- V••••• F•••••••• G•••• filed its initial SEC registration (Form ADV)Jan 14, 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
- Website
- valleyfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-947-9190reportedpublic record, Form ADV, Mar 20, 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
- $71.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026