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••••

Former SEC-registered adviserCRD 314395SEC 801-121199IAPD
Legal name N•• G•• M•••••• L••
Latest filing Mar 18, 2022
First filing on the tape Apr 12, 2021 · 4 filings
RAUM
$15.4M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$15.4M as of Mar 18, 2022
Jul 21, 2021$100,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 18, 2022
Apr 12, 20210 then
Employees (5.A)5 as of Mar 18, 2022
Apr 12, 20213 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$3.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$15.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
0.8derived5 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, otherreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$15.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••••• W•••••• L•••• · Member, Chief Executive Officercontrol
        since 03/2021 · owns 25% to 50%
      • V•••• E••••• J••• · Chief Financial Officer, Chief Compliance Officercontrol
        since 03/2021 · owns less than 5%
      • H•••••• N•••••••• R•• · Chief Executive Officercontrol
        since 08/2017 · owns 25% to 50% of L•••• T••••••••• C•••••••••
      Entity owners
      • L•••• T••••••••• C••••••••• · Member
        direct · owns 50% to 75%
      • C••••••••• I••••••••• L•••••• · Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Chicago, IL1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 4
        Jul 21, 2021 to Mar 18, 2022
      • Employees · 3 to 5
        Jul 21, 2021 to Mar 18, 2022
      • State-registered IARs · 0 to 4
        Jul 21, 2021 to Mar 18, 2022
      • Other offices · 3 to 4
        Jul 21, 2021 to Mar 18, 2022
      • Non-discretionary RAUM · $100,000 to $15.4M
        Jul 21, 2021 to Mar 18, 2022
      • RAUM · $100,000 to $15.4M
        Jul 21, 2021 to Mar 18, 2022
      • Accounts · unset to 1.0
        Jun 22, 2021 to Jul 21, 2021
      • Discretionary RAUM · unset to 0.0
        Jun 22, 2021 to Jul 21, 2021
      • Non-discretionary RAUM · unset to 100000.0
        Jun 22, 2021 to Jul 21, 2021
      • RAUM · unset to 100000.0
        Jun 22, 2021 to Jul 21, 2021
      Signals
      1 dated events
      • V••••• F•••• filed its initial SEC registration (Form ADV)
        Apr 12, 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.
      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