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••••• A•••• M••••••••• L••

Institutional managerUpper Saddle River, New JerseyCRD 323895SEC 801-126955websiteIAPD
Latest filing Feb 17, 2026
First filing on the tape Oct 27, 2022 · 7 filings
SEC status approved since Nov 25, 2022
RAUM
$100M
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
1
1 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$100M as of Feb 17, 2026
Feb 7, 2024$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 23, 20230 then
Employees (5.A)1 as of Feb 17, 2026
Mar 23, 20232 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
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
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
100%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
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$100M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=1.0derived
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
      • B•••••• A•••••• · Ccocontrol
        since 05/2019 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Feb 17, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: institutional managers, $100M to $500M (108) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Employees · 2 to 1
        Jan 13, 2025 to Feb 17, 2026
      • Financial planning clients · unset to
        Feb 7, 2024 to Jan 13, 2025
      • Non-discretionary RAUM · $160M to $100M
        Feb 7, 2024 to Jan 13, 2025
      • RAUM · $160M to $100M
        Feb 7, 2024 to Jan 13, 2025
      • Accounts · unset to 1.0
        Mar 23, 2023 to Aug 23, 2023
      • Discretionary RAUM · unset to 0.0
        Mar 23, 2023 to Aug 23, 2023
      • Non-discretionary RAUM · unset to 160000000.0
        Mar 23, 2023 to Aug 23, 2023
      • RAUM · unset to 160000000.0
        Mar 23, 2023 to Aug 23, 2023
      • Related broker-dealer · false to true
        Mar 23, 2023 to Aug 23, 2023
      Signals
      1 dated events
      • V••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 27, 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.
      How to reach
      public business contact points only, each with its source
      Website
      v•••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      203-554-1180reportedpublic record, Form ADV, Feb 17, 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
      Institutional managerderiveda 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