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•••••• L••
Latest filing Mar 26, 2025
First filing on the tape Sep 29, 2021 · 7 filings
SEC status approved since Oct 29, 2021
RAUM
$6.2M
reported, Item 5.F
Discretionary
100%
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
3
3 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$6.2M as of Mar 26, 2025
Feb 23, 2022$2.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2025
Feb 23, 20220 then
Employees (5.A)3 as of Mar 26, 2025
Feb 23, 20222 then
Private funds: no history
RAUM +11% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $6.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.2M100%
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• E••••••••• S•••••• · Chief Executive Officercontrolsince 07/2021 · owns 25% to 50%
- G••••••• S••••• N•• · President And Chief Compliance Officercontrolsince 07/2021 · owns 25% to 50%
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
- HQ city · unset to Mar 27, 2024 to Mar 26, 2025
- HQ state · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $5.5M to $6.2MMar 27, 2024 to Mar 26, 2025
- RAUM · $5.5M to $6.2MMar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.8M to $5.5MMar 28, 2023 to Mar 27, 2024
- RAUM · $4.8M to $5.5MMar 28, 2023 to Mar 27, 2024
- RAUM · $2.2M to $4.8MSep 26, 2022 to Mar 28, 2023
- Advisory employees · 2 to 3Sep 26, 2022 to Mar 28, 2023
- Employees · 2 to 3Sep 26, 2022 to Mar 28, 2023
- Discretionary RAUM · $2.2M to $4.8MSep 26, 2022 to Mar 28, 2023
- Accounts · 0 to 1Nov 10, 2021 to Feb 23, 2022
- Discretionary RAUM · $0 to $2.2MNov 10, 2021 to Feb 23, 2022
- RAUM · $0 to $2.2MNov 10, 2021 to Feb 23, 2022
Signals
4 dated events
- V•••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $6.2M)Jun 2, 2025 · Left the SEC roster · derived
- J••••• Kim (Chief Compliance Officer) no longer on Schedule A of V•••••• L•• (listed 2022-02-23, absent 2022-09-26)Sep 26, 2022 · Control person left · inference
- J••••• Kim (Chief Compliance Officer) appeared on Schedule A of V•••••• L••Feb 23, 2022 · Control person joined · fact
- V•••••• L•• filed its initial SEC registration (Form ADV)Sep 29, 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