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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SEC-registered adviser
V•••••
Legal name V••••• P•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 29, 2024 · 12 filings
SEC status approved since Apr 26, 2024
RAUM
$214M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
75%
$161M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$53.5M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$214M as of Mar 31, 2026
Feb 14, 2025$125M then
HNW client RAUM$126M as of Mar 31, 2026
Feb 14, 2025$59.7M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Feb 14, 20252 then
Employees (5.A)6 as of Mar 31, 2026
Feb 14, 20252 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $53.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $332,057derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M59%
- Pension and profit-sharing plans$53.5M25%
- Individuals$34.7M16%
- Individual clients
- 150reported
- HNW clients
- 49reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 645reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.75 fund_share=0.0 institutional_share=0.25 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• F•••••• S•••••Certified Financial Planner | Malvern, Pa | Aug 2, 2022 | 24 y | 1 |
| G•••• M•••••• G•••••••Certified Financial Planner | Malvern, Pa | Mar 14, 2024 | 40 y | 3 |
| T••••• K•••••Certified Financial Planner | Malvern, Pa | Jul 13, 2025 | 12 y | 1 |
| M••• E•••••••• F••••Certified Financial Planner | Malvern, Pa | Feb 19, 2026 | 18 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
Joined, latest
- T••••• K••••• from C••••• I••••••••• A••••••• L••Jul 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- G•••• M•••••• G••••••• from L•• F•••••••• L••Mar 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••• F•••••• S••••• from B••••••••Aug 2, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• G••••• M•••••• · Ownercontrolsince 04/2024 · owns 50% to 75%
- S•••••• P•••• F•••••• · Owner, Ccocontrolsince 06/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Malvern, Pa | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Florham Park, NJ1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $135,116,287 to $214,176,901 (+59.0%) between the annual amendments of 2025-04-21 and 2026-03-31; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 41.0% to 59.0% between the annual amendments of 2025-04-21 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 486 to 645Oct 16, 2025 to Mar 31, 2026
- BD registered reps · 1 to 2Oct 16, 2025 to Mar 31, 2026
- HNW clients · 30 to 49Oct 16, 2025 to Mar 31, 2026
- Individual clients · 120 to 150Oct 16, 2025 to Mar 31, 2026
- Pension plan clients · unset to 7.0Oct 16, 2025 to Mar 31, 2026
- Discretionary RAUM · $135M to $214MOct 16, 2025 to Mar 31, 2026
- HNW RAUM · $55.7M to $126MOct 16, 2025 to Mar 31, 2026
- Individual RAUM · $31.5M to $34.7MOct 16, 2025 to Mar 31, 2026
- Pension RAUM · $48.0M to $53.5MOct 16, 2025 to Mar 31, 2026
- RAUM · $135M to $214MOct 16, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 21, 2025 to Oct 16, 2025
- Accounts · 323 to 486Feb 14, 2025 to Apr 21, 2025
- Advisory employees · 2 to 3Feb 14, 2025 to Apr 21, 2025
- HNW clients · 41 to 30Feb 14, 2025 to Apr 21, 2025
- Individual clients · 79 to 120Feb 14, 2025 to Apr 21, 2025
- Assets in custody · 816071.0 to unsetFeb 14, 2025 to Apr 21, 2025
- Custody of client assets · true to falseFeb 14, 2025 to Apr 21, 2025
- Employees · 2 to 6Feb 14, 2025 to Apr 21, 2025
- State-registered IARs · 2 to 3Feb 14, 2025 to Apr 21, 2025
- Discretionary RAUM · $125M to $135MFeb 14, 2025 to Apr 21, 2025
- HNW RAUM · $59.7M to $55.7MFeb 14, 2025 to Apr 21, 2025
- Individual RAUM · $19.8M to $31.5MFeb 14, 2025 to Apr 21, 2025
- Pension RAUM · $45.3M to $48.0MFeb 14, 2025 to Apr 21, 2025
- RAUM · $125M to $135MFeb 14, 2025 to Apr 21, 2025
- HQ city · unset to Sep 13, 2024 to Feb 14, 2025
- HQ state · unset to Sep 13, 2024 to Feb 14, 2025
- Other offices · 0 to 1Aug 2, 2024 to Sep 13, 2024
- BD registered reps · 0 to 1Apr 15, 2024 to Jul 8, 2024
- Business name · V••••• P•••••••• L•• to V•••••Apr 15, 2024 to Jul 8, 2024
- Discretionary RAUM · $104M to $125MApr 15, 2024 to Jul 8, 2024
- HNW RAUM · $45.0M to $59.7MApr 15, 2024 to Jul 8, 2024
- Individual RAUM · $15.0M to $19.8MApr 15, 2024 to Jul 8, 2024
- Non-discretionary RAUM · $178,200 to $0Apr 15, 2024 to Jul 8, 2024
- Pension RAUM · $43.8M to $45.3MApr 15, 2024 to Jul 8, 2024
- RAUM · $104M to $125MApr 15, 2024 to Jul 8, 2024
- BD registered reps · 1 to 0Mar 29, 2024 to Apr 3, 2024
- Business name · V••••••• L•• to V••••• P•••••••• L••Mar 29, 2024 to Apr 3, 2024
- Legal name · V••••••• L•• to V••••• P•••••••• L••Mar 29, 2024 to Apr 3, 2024
Signals
2 dated events
- Michael Gregg Gottlieb (Owner) appeared on Schedule A of ViableAug 2, 2024 · Control person joined · fact
- V••••••• L•• filed its initial SEC registration (Form ADV)Mar 29, 2024 · 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
- Business email
- c••••••@v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-842-2295reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- v•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-842-2295reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- v•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $53.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026