DFX Intelligence
RIA Intelligence
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SEC-registered adviser
V•••••••••
Legal name V••••••••• A••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jul 22, 2024 · 4 filings
SEC status approved since Aug 21, 2024
RAUM
$984M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$984M as of Mar 23, 2026
Mar 12, 2025$4.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 12, 20250 then
Employees (5.A)6 as of Mar 23, 2026
Mar 12, 20253 then
Private funds: no history
RAUM +20234% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 2026; 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
- $109MderivedRAUM 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
- +20234%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$984M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C••••••••• J•••• · Chief Financial Officer, Secretary, Treasurercontrolsince 06/2024 · owns less than 5%
- M•••••••• J•••• T••••• · Chief Compliance Officercontrolsince 06/2024 · owns less than 5%
- P••••• A•••• S•••• · Chief Executive Officer, Presidentcontrolsince 06/2024 · owns less than 5%
- B•••••• K••••• M•••• · Manager, Secretary And Managing Directorcontrolsince 01/2020 · owns F of D•• V••••••• L••
- H•••••• C••••••••• J•••• · Manager, Chief Financial Officer, Treasurer, Secretarycontrolsince 06/2024 · owns F of V••••••••• L••
- M••••••• J•••••••• M••• · Manager, Presidentcontrolsince 06/2024 · owns F of V••••••••• L••
- M••••••• J•••••••• M••• · Manager, President, Chief Eecutive Officer And Managing Directorcontrolsince 01/2020 · owns 25% to 50% of D•• V••••••• L••
- M••••• K•••••••• C•••• · Managercontrolsince 09/2020 · owns F of D•• V••••••• L••
- P••••• A•••• S•••• · Manager, Chief Executive Officercontrolsince 06/2024 · owns 25% to 50% of V••••••••• L••
- P•••••• D••••• R••••••• · Managercontrolsince 08/2020 · owns F of D•• V••••••• L••
- S••••••• G•••••• K••••••••• · Managercontrolsince 02/2021 · owns F of D•• V••••••• L••
- V••••• H••••• M•••••• · Manager, Treasurer And Managing Directorcontrolsince 01/2020 · owns F of D•• V••••••• L••
Entity owners
- V••••••••• L•• · Managing Memberdirect · owns 75% or more
- D•• V••••••• C•• · Memberindirect · owns 75% or more of V••••••••• L••
- D•• V••••••• L•• · Stockholderindirect · owns 75% or more of D•• V••••••• C••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 9May 27, 2025 to Mar 23, 2026
- Advisory employees · 3 to 6May 27, 2025 to Mar 23, 2026
- BD registered reps · 1 to 4May 27, 2025 to Mar 23, 2026
- Employees · 3 to 6May 27, 2025 to Mar 23, 2026
- Discretionary RAUM · $4.8M to $984MMay 27, 2025 to Mar 23, 2026
- RAUM · $4.8M to $984MMay 27, 2025 to Mar 23, 2026
- Financial planning clients · unset to Mar 12, 2025 to May 27, 2025
- Accounts · unset to 1.0Jul 22, 2024 to Mar 12, 2025
- Employees · 4 to 3Jul 22, 2024 to Mar 12, 2025
- HQ city · unset to Jul 22, 2024 to Mar 12, 2025
- HQ state · unset to Jul 22, 2024 to Mar 12, 2025
- Discretionary RAUM · unset to 4839247.0Jul 22, 2024 to Mar 12, 2025
- Non-discretionary RAUM · unset to 0.0Jul 22, 2024 to Mar 12, 2025
- RAUM · unset to 4839247.0Jul 22, 2024 to Mar 12, 2025
Signals
1 dated events
- Vistashares filed its initial SEC registration (Form ADV)Jul 22, 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
- Firm profile
- linkedin.com/company/vistasharesreportedpublic record, Form ADV, Sep 21, 2026
- Website
- V•••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 917-319-4683reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda 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