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•••••••• I•••••••••
Wealth manager with institutional or fund businessHinsdale, IllinoisCRD 335309SEC 801-136204websiteIAPD
Legal name V•••••••• I••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape May 4, 2026 · 2 filings
SEC status approved since May 7, 2026
RAUM
$322M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
25%
$80.6M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$80.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$322M as of Jul 15, 2026
May 4, 2026$317M then
HNW client RAUM$80.6M as of Jul 15, 2026
May 4, 2026$61.7M then
State-registered IARs (5.B.3)4 as of Jul 15, 2026
May 4, 20264 then
Employees (5.A)4 as of Jul 15, 2026
May 4, 20264 then
Private funds: no history
Practice profile
derived from the filing of Jul 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $80.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $3.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 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
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$242M75%
- High-net-worth individuals$80.6M25%
- Individual clients
- n/areported
- HNW clients
- 44reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 98reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.25 fund_share=0.75 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• P••• M•••••••Chartered Financial Analyst | Pheonix, Az | Oct 3, 2025 | 10 y | 2 |
| W•••••• S••••••• | Hinsdale, Il | Oct 23, 2025 | 10 y | 4 |
| R••• M••••••• W••••• | Hinsdale, Il | May 11, 2026 | 20 y | 3 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- R••• M••••••• W••••• from J••• M••••• S••••••••• L••May 11, 2026 · Wirehouse to independent RIA
- W•••••• S••••••• from A••••••••• L•••Oct 23, 2025 · Other
- S••• P••• M••••••• from C••••••• C••••••Oct 3, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• S•••• P••• · Managing Partnercontrolsince 09/2025 · owns 25% to 50%
- R•••• M••••••• R••••• · Cco And Managing Partnercontrolsince 02/2025 · owns 25% to 50%
- S•••••••• W•••••• · Partnersince 10/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Hinsdale, Il · principal | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 452 to 98May 4, 2026 to Jul 15, 2026
- Individual clients · 393.0 to unsetMay 4, 2026 to Jul 15, 2026
- Insurance-licensed employees · 3 to 4May 4, 2026 to Jul 15, 2026
- Discretionary RAUM · $317M to $322MMay 4, 2026 to Jul 15, 2026
- HNW RAUM · $61.7M to $80.6MMay 4, 2026 to Jul 15, 2026
- Individual RAUM · 255534376.0 to unsetMay 4, 2026 to Jul 15, 2026
- RAUM · $317M to $322MMay 4, 2026 to Jul 15, 2026
Signals
No event on the tape.
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
- i•••@v•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- l••••@v•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s••••@v•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 312-895-3001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 480-906-3001reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- v•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-498-5703reportedpublic record, Form ADV, Jul 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $80.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026