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•••••••• L••

Asset manager (funds and pooled vehicles)Louisville, KentuckyCRD 334305SEC 801-133804websiteIAPD
Latest filing Mar 13, 2026
First filing on the tape Jul 9, 2025 · 3 filings
SEC status approved since Jul 7, 2025
RAUM
$150M
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
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$150M as of Mar 13, 2026
Jul 9, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 13, 2026
Jul 9, 20250 then
Employees (5.A)10 as of Mar 13, 2026
Jul 9, 20258 then
Private funds1 as of Mar 13, 2026
Nov 5, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$150MderivedRAUM 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
$150MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
10.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$150M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
      • C••••••• J••••• B•••••• · Cco
        since 01/2025 · owns less than 5%
      Entity owners
      • V•••••• F••••• L•• · Member
        direct · 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.
      What changed
      consecutive filings, newest first
      • Employees · 8 to 10
        Nov 5, 2025 to Mar 13, 2026
      • Accounts · 0 to 1
        Jul 9, 2025 to Nov 5, 2025
      • Pooled vehicle clients · unset to 1.0
        Jul 9, 2025 to Nov 5, 2025
      • Financial planning clients · 0 to 0
        Jul 9, 2025 to Nov 5, 2025
      • State-registered IARs · 0 to 1
        Jul 9, 2025 to Nov 5, 2025
      • Private funds · unset to 1
        Jul 9, 2025 to Nov 5, 2025
      • Discretionary RAUM · $0 to $150M
        Jul 9, 2025 to Nov 5, 2025
      • Pooled vehicle RAUM · unset to 150000000.0
        Jul 9, 2025 to Nov 5, 2025
      • RAUM · $0 to $150M
        Jul 9, 2025 to Nov 5, 2025
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      w•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
      Principal office phone
      502-208-2125reportedpublic record, Form ADV, Mar 13, 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