DFX Intelligence

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V••• O•• W••••• L••

Former SEC-registered adviserFormer SEC adviser· Newtown, Pennsylvaniawebsite

Former SEC-registered adviser, based in Newtown, Pennsylvania, reporting $37.1M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2024-04-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $37.1M
Advisors: 3
Net advisor flow, 12 months: +1 (1 in, 0 out)
RAUM change, last fiscal year: Not applicable
Private clients: 100% of RAUM, $37.1M

Advisors (3)Advisor movement Where the RAUM sits

As of 2024-04-26 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 328023 · SEC 801-129006 · 17 filingsShow

CRD 328023SEC 801-129006First filing on the tape Oct 4, 2023, latest Apr 26, 2024IAPD

RAUM

$37.1M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$37.1M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$12.4M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$37.1M as of Apr 26, 2024

Oct 4, 2023$0 then

HNW client RAUM$18.1M as of Apr 26, 2024

Mar 29, 2024$18.1M then

State-registered IARs (5.B.3)2 as of Apr 26, 2024

Oct 4, 20232 then

Employees (5.A)2 as of Apr 26, 2024

Oct 4, 20232 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Apr 26, 2024; every figure names its basis

RAUM per advisor: $12.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 23derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.3MderivedHNW RAUM over HNW clients
Average account: $175,089derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 0.7derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$19.0M51%
High-net-worth individuals$18.1M49%

Individual clients: 56reported
HNW clients: 14reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 212reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••• L•••• M•••••••••Certified Financial Planner	Doylestown, Pa	Nov 9, 2023	11 y	1
R••• L•••• V•••Certified Financial Planner	Doylestown, Pa	Nov 9, 2023	9 y	1
L•••• M••••••• S•••••••Certified Financial Planner	Doylestown, Pa	Apr 23, 2026	12 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 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

L•••• M••••••• S••••••• from J••• M••••• S••••••••• L••
Apr 23, 2026 · Wirehouse to independent RIA
M•••• L•••• M••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 9, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
R••• L•••• V••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 9, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Nov 13, 2023 · Southampton, Pa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••••• M•••• · Managing Member & Co-Foundercontrol
since 11/2023 · owns 50% to 75%
V•••• R••• · Managing Member, Co-Founder, & Chief Compliance Officercontrol
since 11/2023 · 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
Doylestown, Pa	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Business name · V••••• S•••••••• W••••• L•• to V••• O•• W••••• L••
Apr 16, 2024 to Apr 26, 2024
Legal name · V••••• S•••••••• W••••• L•• to V••• O•• W••••• L••
Apr 16, 2024 to Apr 26, 2024
Accounts · 0 to 212
Feb 7, 2024 to Mar 29, 2024
HNW clients · unset to 14.0
Feb 7, 2024 to Mar 29, 2024
Individual clients · unset to 56.0
Feb 7, 2024 to Mar 29, 2024
Financial planning clients · 0 to 51-100
Feb 7, 2024 to Mar 29, 2024
Discretionary RAUM · $0 to $37.1M
Feb 7, 2024 to Mar 29, 2024
HNW RAUM · unset to 18120047.0
Feb 7, 2024 to Mar 29, 2024
Individual RAUM · unset to 18998764.0
Feb 7, 2024 to Mar 29, 2024
RAUM · $0 to $37.1M
Feb 7, 2024 to Mar 29, 2024
Advisory activities · 4 to 5
Jan 4, 2024 to Jan 23, 2024

Signals

5 dated events

••• Locked
Nov 13, 2023 · Team lift-out · derived
••• Locked
Nov 9, 2023 · Control person joined · fact
••• Locked
Nov 9, 2023 · Control person joined · fact
••• Locked
Nov 9, 2023 · Control person left · inference
••• Locked
Oct 4, 2023 · 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: ••• Lockedreportedpublic record, Form ADV, Jul 29, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $12.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026