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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
V••••••••• A•••••••• I••
Latest filing Apr 30, 2024
First filing on the tape Feb 11, 2022 · 13 filings
RAUM
$301M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$279M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 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$234M as of Feb 9, 2024
Mar 10, 2023$225M then
HNW client RAUM$173M as of Feb 9, 2024
Mar 10, 2023$202M then
State-registered IARs (5.B.3)1 as of Feb 9, 2024
Mar 10, 20231 then
Employees (5.A)5 as of Feb 9, 2024
Mar 10, 20235 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 30, 2024; every figure names its basis
- RAUM per advisor
- $301MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 286derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $999,347derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$259M86%
- Individuals$20.2M6.7%
- Corporations and businesses$17.4M5.8%
- Pension and profit-sharing plans$4.3M1.4%
- Individual clients
- 163reported
- HNW clients
- 123reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 301reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
- J••• J••••• H••••• to V•••••• A•••••••• L••Nov 23, 2024 · RIA to RIA
Joined, latest
- J••• J••••• H••••• from S••••• S••••••••• C•••••••••Sep 6, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• T•••••• J•••• · Ccocontrolsince 02/2022 · owns less than 5%
- H•••••• J•••• J••••• · Ceocontrolsince 02/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| North Palm Beach, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 263 to 301Feb 27, 2024 to Apr 30, 2024
- Corporate clients · unset to 9.0Feb 27, 2024 to Apr 30, 2024
- HNW clients · 100 to 123Feb 27, 2024 to Apr 30, 2024
- Individual clients · 30 to 163Feb 27, 2024 to Apr 30, 2024
- Discretionary RAUM · $231M to $297MFeb 27, 2024 to Apr 30, 2024
- HNW RAUM · $173M to $259MFeb 27, 2024 to Apr 30, 2024
- Individual RAUM · $57.1M to $20.2MFeb 27, 2024 to Apr 30, 2024
- Non-discretionary RAUM · $3.3M to $3.3MFeb 27, 2024 to Apr 30, 2024
- RAUM · $234M to $301MFeb 27, 2024 to Apr 30, 2024
- Accounts · 288 to 263Mar 28, 2023 to Feb 9, 2024
- Pension plan clients · 9 to 6Mar 28, 2023 to Feb 9, 2024
- Discretionary RAUM · $222M to $231MMar 28, 2023 to Feb 9, 2024
- HNW RAUM · $202M to $173MMar 28, 2023 to Feb 9, 2024
- Individual RAUM · $22.4M to $57.1MMar 28, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $3.7M to $3.3MMar 28, 2023 to Feb 9, 2024
- Pension RAUM · $917,086 to $4.3MMar 28, 2023 to Feb 9, 2024
- RAUM · $225M to $234MMar 28, 2023 to Feb 9, 2024
- Accounts · 0 to 288Aug 18, 2022 to Mar 10, 2023
- HNW clients · unset to 100.0Aug 18, 2022 to Mar 10, 2023
- Individual clients · 0 to 30Aug 18, 2022 to Mar 10, 2023
- Pension plan clients · unset to 9.0Aug 18, 2022 to Mar 10, 2023
- Discretionary RAUM · $0 to $222MAug 18, 2022 to Mar 10, 2023
- HNW RAUM · unset to 201918735.0Aug 18, 2022 to Mar 10, 2023
- Individual RAUM · unset to 22435415.0Aug 18, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $0 to $3.7MAug 18, 2022 to Mar 10, 2023
- Pension RAUM · unset to 917086.0Aug 18, 2022 to Mar 10, 2023
- RAUM · $0 to $225MAug 18, 2022 to Mar 10, 2023
Signals
3 dated events
- J••• J••••• H••••• left V••••••••• A•••••••• I•• for V•••••• A•••••••• L•• (registered 2024-12-06)Nov 23, 2024 · Advisor changed firm · fact
- Joseph John Hanlon (Ceo) appeared on Schedule A of V••••••••• A•••••••• I••Feb 17, 2022 · Control person joined · fact
- V••••••••• A•••••••• I•• filed its initial SEC registration (Form ADV)Feb 11, 2022 · 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