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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Former SEC-registered adviser
V••••••• F••••• W••••• A•••••••
Legal name V••••••• F••••• W•••••• L••
Latest filing Sep 22, 2022
First filing on the tape Jan 5, 2021 · 7 filings
RAUM
$42.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$42.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$42.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$42.1M as of Sep 22, 2022
Jan 5, 2021$0 then
HNW client RAUM$42.0M as of Sep 22, 2022
Jan 5, 2021$0 then
State-registered IARs (5.B.3)1 as of Sep 22, 2022
Jan 5, 20210 then
Employees (5.A)1 as of Sep 22, 2022
Jan 5, 20211 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 22, 2022; every figure names its basis
- RAUM per advisor
- $42.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $738,312derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween 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
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $42.1M, 15 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$42.0M100%
- Charitable organizations$95,0760.2%
- Individual clients
- n/areported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 57reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.1M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• J••••Certified Financial Planner | Houston, Tx | Sep 22, 2022 | 17 y | 3 |
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
- R••••• E••••• J•••• from M••••• G••••• A••••••• I•••Sep 22, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• R•••••• E••••• · Chief Compliance Officer & Chief Executive Officercontrolsince 03/2021 · owns 75% or more
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
- Assets in custody · $94.1M to $42.1MJul 27, 2022 to Sep 13, 2022
- Accounts · 78 to 57Mar 8, 2022 to Jul 27, 2022
- Charity clients · 3 to 2Mar 8, 2022 to Jul 27, 2022
- HNW clients · 18 to 13Mar 8, 2022 to Jul 27, 2022
- Discretionary RAUM · $105M to $42.1MMar 8, 2022 to Jul 27, 2022
- HNW RAUM · $94.1M to $42.0MMar 8, 2022 to Jul 27, 2022
- RAUM · $105M to $42.1MMar 8, 2022 to Jul 27, 2022
- Accounts · 76 to 78Nov 23, 2021 to Mar 8, 2022
- Business name · V••••••• F••••• W•••••• L•• to V••••••• F••••• W••••• A•••••••Nov 23, 2021 to Mar 8, 2022
- Charity clients · unset to 3.0Nov 23, 2021 to Mar 8, 2022
- Assets in custody · $0 to $94.1MNov 23, 2021 to Mar 8, 2022
- Financial planning clients · 0 to 11-25Nov 23, 2021 to Mar 8, 2022
- Discretionary RAUM · $101M to $105MNov 23, 2021 to Mar 8, 2022
- HNW RAUM · $89.5M to $94.1MNov 23, 2021 to Mar 8, 2022
- Pension RAUM · 16030.0 to unsetNov 23, 2021 to Mar 8, 2022
- RAUM · $101M to $105MNov 23, 2021 to Mar 8, 2022
- Accounts · 0 to 76Mar 12, 2021 to Nov 23, 2021
- Advisory employees · 2 to 1Mar 12, 2021 to Nov 23, 2021
- Business name · B•••• A•••••••• L•• to V••••••• F••••• W•••••• L••Mar 12, 2021 to Nov 23, 2021
- HNW clients · unset to 18.0Mar 12, 2021 to Nov 23, 2021
- Employees · 3 to 1Mar 12, 2021 to Nov 23, 2021
- State-registered IARs · 2 to 1Mar 12, 2021 to Nov 23, 2021
- Legal name · B•••• A•••••••• L•• to V••••••• F••••• W•••••• L••Mar 12, 2021 to Nov 23, 2021
- Discretionary RAUM · $0 to $101MMar 12, 2021 to Nov 23, 2021
- HNW RAUM · $0 to $89.5MMar 12, 2021 to Nov 23, 2021
- Individual RAUM · 0.0 to unsetMar 12, 2021 to Nov 23, 2021
- Pension RAUM · $0 to $16,030Mar 12, 2021 to Nov 23, 2021
- RAUM · $0 to $101MMar 12, 2021 to Nov 23, 2021
- Advisory employees · 0 to 2Jan 5, 2021 to Mar 12, 2021
- Employees · 1 to 3Jan 5, 2021 to Mar 12, 2021
- Financial planning clients · unset to 0Jan 5, 2021 to Mar 12, 2021
- HQ city · ENGLEWOOD to HOUSTONJan 5, 2021 to Mar 12, 2021
- HQ state · NJ to TXJan 5, 2021 to Mar 12, 2021
- State-registered IARs · 0 to 2Jan 5, 2021 to Mar 12, 2021
Signals
3 dated events
- Edward Rodney James (Chief Compliance Officer & Chief Executive Officer) appeared on Schedule A of V••••••• F••••• W••••• A•••••••Mar 12, 2021 · Control person joined · fact
- Adam Daniel Bernstein (Chief Compliance Officer) no longer on Schedule A of V••••••• F••••• W••••• A••••••• (listed 2021-01-05, absent 2021-03-12)Mar 12, 2021 · Control person left · inference
- B•••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jan 5, 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
- vineyardfamilywealth.comreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $42.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026