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•••••••••

Former SEC-registered adviserTampa, FloridaCRD 312707SEC 801-120588IAPD
Legal name V••••••••• L•••
Latest filing Oct 30, 2023
First filing on the tape Feb 22, 2021 · 13 filings
RAUM
$5.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$4.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.3M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$5.0M as of May 30, 2023
Mar 26, 2022$17.8M then
HNW client RAUM$3.3M as of May 30, 2023
Mar 26, 2022$0 then
State-registered IARs (5.B.3)0 as of May 30, 2023
Mar 26, 20220 then
Employees (5.A)4 as of May 30, 2023
Mar 26, 20224 then
Private funds: no history
RAUM -72% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 30, 2023; every figure names its basis
RAUM per advisor
$1.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
4derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$250,000derivedHNW RAUM over HNW clients
Average account
$185,185derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-72%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+1500%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
$5.0MreportedItem 5.I
Custody
$5.0M, 27 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.3M65%
  • Pension and profit-sharing plans$1.0M20%
  • Individuals$750,00015%
Individual clients
3reported
HNW clients
13reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
27reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$5.0M for 27 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G•••••• M•••••• D•••••Tampa, FlNov 19, 202422 y5
N••••••• J••• K•••Tampa, FlApr 7, 202511 y1
S•••• M••••Chartered Financial AnalystTampa, FlJun 3, 202510 y0
S••• K•••• L•••••••••Tampa, FlNov 14, 202511 y1
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••• N•••••••• J••• · Chief Compliance Officercontrol
      since 01/2023 · owns less than 5%
    • K•••• N•••••••• J••• · Ownercontrol
      since 09/2021 · owns 75% or more of A••••••• G•••• 1• L••
    Entity owners
    • A••••••• G•••• 1• L•• · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Tampa, Fl · principal410
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Assets in custody · unset to 5000000.0
      May 30, 2023 to Sep 1, 2023
    • Custody of client assets · false to true
      May 30, 2023 to Sep 1, 2023
    • Accounts · 1 to 27
      Jul 29, 2022 to May 30, 2023
    • Advisory activities · 2 to 1
      Jul 29, 2022 to May 30, 2023
    • HNW clients · 0 to 13
      Jul 29, 2022 to May 30, 2023
    • Individual clients · 1 to 3
      Jul 29, 2022 to May 30, 2023
    • Pension plan clients · 0 to 1
      Jul 29, 2022 to May 30, 2023
    • Discretionary RAUM · $46.7M to $5.0M
      Jul 29, 2022 to May 30, 2023
    • HNW RAUM · $0 to $3.3M
      Jul 29, 2022 to May 30, 2023
    • Individual RAUM · $46.7M to $750,000
      Jul 29, 2022 to May 30, 2023
    • Pension RAUM · $0 to $1.0M
      Jul 29, 2022 to May 30, 2023
    • RAUM · $46.7M to $5.0M
      Jul 29, 2022 to May 30, 2023
    • Wrap assets (manager) · unset to 0.0
      Jul 29, 2022 to May 30, 2023
    • Wrap assets (sponsor) · unset to 0.0
      Jul 29, 2022 to May 30, 2023
    • Advisory employees · 4 to 1
      Jun 7, 2022 to Jul 29, 2022
    • Individual RAUM · $0 to $46.7M
      Jun 7, 2022 to Jul 29, 2022
    • Business name · V••••••••• L••• to V•••••••••
      Apr 29, 2022 to Jun 7, 2022
    • Advisory activities · 1 to 2
      Mar 26, 2022 to Apr 29, 2022
    • Discretionary RAUM · $17.8M to $46.7M
      Mar 26, 2022 to Apr 29, 2022
    • Individual RAUM · $17.8M to $0
      Mar 26, 2022 to Apr 29, 2022
    • RAUM · $17.8M to $46.7M
      Mar 26, 2022 to Apr 29, 2022
    • Corporate clients · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • HNW clients · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Individual clients · unset to 1.0
      Jul 21, 2021 to Mar 26, 2022
    • Accounts · 0 to 1
      Jul 21, 2021 to Mar 26, 2022
    • Charity clients · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Pension plan clients · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Pooled vehicle clients · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Discretionary RAUM · $0 to $17.8M
      Jul 21, 2021 to Mar 26, 2022
    • HNW RAUM · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Individual RAUM · unset to 17819889.0
      Jul 21, 2021 to Mar 26, 2022
    • Pension RAUM · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • Pooled vehicle RAUM · unset to 0.0
      Jul 21, 2021 to Mar 26, 2022
    • RAUM · $0 to $17.8M
      Jul 21, 2021 to Mar 26, 2022
    • HQ city · unset to TAMPA
      Feb 25, 2021 to Jul 21, 2021
    • HQ state · unset to FL
      Feb 25, 2021 to Jul 21, 2021
    Signals
    6 dated events
    • A Amol Nirgudkar (Member) no longer on Schedule A of Vectorwealth (listed 2023-09-13, absent 2023-10-27)
      Oct 27, 2023 · Control person left · inference
    • C••••••• D••••• F•••• (Mgr) no longer on Schedule A of Vectorwealth (listed 2023-09-13, absent 2023-10-27)
      Oct 27, 2023 · Control person left · inference
    • Carter William Hambley (Ceo) no longer on Schedule A of Vectorwealth (listed 2023-09-13, absent 2023-10-27)
      Oct 27, 2023 · Control person left · inference
    • Robert Jeffrey D•••••son (Member And Chief Compliance Officer) no longer on Schedule A of Vectorwealth (listed 2022-07-29, absent 2023-05-30)
      May 30, 2023 · Control person left · inference
    • John Nicholas Koen (Chief Compliance Officer) appeared on Schedule A of Vectorwealth
      May 30, 2023 · Control person joined · fact
    • V••••••••• L••• filed its initial SEC registration (Form ADV)
      Feb 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
    Website
    vectorwealth.ioreportedpublic record, Form ADV, Sep 18, 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
    $1.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026