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••••••• C•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 317504SEC 801-122864websiteIAPD
Latest filing Mar 19, 2025
First filing on the tape Nov 12, 2021 · 7 filings
SEC status approved since Dec 10, 2021
RAUM
$70.2M
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
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$70.2M as of Mar 19, 2025
Mar 29, 2022$172M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2025
Mar 29, 20220 then
Employees (5.A)3 as of Mar 19, 2025
Mar 29, 20224 then
Private funds1 as of Mar 19, 2025
Mar 29, 20221 then
RAUM -67% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
$70.2MderivedRAUM 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
-67%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$70.2M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$70.2M100%
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
$70.2M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••••••• C•••••• P••••••• L•Hedge Fund$212M13Sep 28, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • O•• K•••••• Y•••• · President, Chief Investment Officercontrol
        since 03/2021 · owns less than 5%
      • W•••••••• L•••••• G••••••• · Chief Compliance Officer, Head Of Researchcontrol
        since 03/2021 · owns less than 5%
      • O•• K•••••• Y•••• · Managing Membercontrol
        since 10/2020 · owns 50% to 75% of V••••••• C•••••• G•••• L••
      • O•• K•••••• Y•••• · Limited Partnercontrol
        since 11/2021 · owns 50% to 75% of V••••••• M••••••••• H••••••• L•
      • W•••••••• L•••••• G••••••• · Managing Membercontrol
        since 01/2021 · owns 25% to 50% of V••••••• C•••••• G•••• L••
      Entity owners
      • V••••••• C•••••• G•••• L•• · General Partner
        direct · owns less than 5%
      • V••••••• M••••••••• H••••••• L• · Limited Partner
        direct · owns 75% or more
      • V••••••• C•••••• G•••• L•• · General Partner
        indirect · owns F of V••••••• M••••••••• H••••••• L•
      Related persons
      Schedule D 7.A
      • V••••••• C•••••• A••••••• L•
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $212M to $70.2M
        Jun 11, 2024 to Mar 19, 2025
      • Discretionary RAUM · $212M to $70.2M
        Jun 11, 2024 to Mar 19, 2025
      • Pooled vehicle RAUM · $212M to $70.2M
        Jun 11, 2024 to Mar 19, 2025
      • RAUM · $212M to $70.2M
        Jun 11, 2024 to Mar 19, 2025
      • Assets in custody · $142M to $212M
        Mar 16, 2023 to Mar 21, 2024
      • Discretionary RAUM · $142M to $212M
        Mar 16, 2023 to Mar 21, 2024
      • Pooled vehicle RAUM · $142M to $212M
        Mar 16, 2023 to Mar 21, 2024
      • RAUM · $142M to $212M
        Mar 16, 2023 to Mar 21, 2024
      • Advisory employees · 4 to 3
        Nov 22, 2022 to Mar 16, 2023
      • Assets in custody · $172M to $142M
        Nov 22, 2022 to Mar 16, 2023
      • Employees · 4 to 3
        Nov 22, 2022 to Mar 16, 2023
      • Discretionary RAUM · $172M to $142M
        Nov 22, 2022 to Mar 16, 2023
      • Pooled vehicle RAUM · $172M to $142M
        Nov 22, 2022 to Mar 16, 2023
      • RAUM · $172M to $142M
        Nov 22, 2022 to Mar 16, 2023
      • Accounts · unset to 1.0
        Nov 12, 2021 to Mar 29, 2022
      • Pooled vehicle clients · unset to 1.0
        Nov 12, 2021 to Mar 29, 2022
      • Assets in custody · unset to 171567281.0
        Nov 12, 2021 to Mar 29, 2022
      • Custody of client assets · false to true
        Nov 12, 2021 to Mar 29, 2022
      • Private funds · unset to 1
        Nov 12, 2021 to Mar 29, 2022
      • Discretionary RAUM · unset to 171567281.0
        Nov 12, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · unset to 0.0
        Nov 12, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · unset to 171567281.0
        Nov 12, 2021 to Mar 29, 2022
      • RAUM · unset to 171567281.0
        Nov 12, 2021 to Mar 29, 2022
      • Related bank · false to true
        Nov 12, 2021 to Mar 29, 2022
      Signals
      3 dated events
      • V••••••• C•••••• M••••••••• L• no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $70.2M)
        Aug 1, 2025 · Left the SEC roster · derived
      • V••••••• C•••••• M••••••••• L• reported RAUM $70.2M, down 67% from $211.5M (2024-06-11 to 2025-03-19)
        Mar 19, 2025 · RAUM change · derived
      • V••••••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        Nov 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