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••••• W•••••
Legal name V••••• W••••• L••
Latest filing Sep 1, 2026
First filing on the tape Jul 23, 2025 · 7 filings
SEC status approved since Jul 31, 2025
RAUM
$440M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
71%
$312M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$88.0M
derived; firm RAUM over IAPD count
Employees
15
5 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$440M as of Jul 15, 2026
Jul 23, 2025$0 then
HNW client RAUM$210M as of Jul 15, 2026
Nov 20, 2025$44.0M then
State-registered IARs (5.B.3)5 as of Jul 15, 2026
Jul 23, 20255 then
Employees (5.A)15 as of Jul 15, 2026
Jul 23, 202515 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $88.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $185,728derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $213M, 52 clientsreportedItem 9.A
- 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
- High-net-worth individuals$210M48%
- Pension and profit-sharing plans$127M29%
- Individuals$102M23%
- Individual clients
- 843reported
- HNW clients
- 137reported
- Pension plan clients
- 30reported
- Charitable clients
- 0reported
- Accounts
- 2,368reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $213M for 52 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• P••• E••••• | Lancaster, Pa | Aug 4, 2025 | 15 y | 1 |
| A••••• J••••• S••••• | Lancaster, Pa | Aug 4, 2025 | 15 y | 1 |
| P••• K••••• B••••••• | Lancaster, Pa | Aug 4, 2025 | 13 y | 1 |
| C•••••• M• S•••••• | Lancaster, Pa | Aug 4, 2025 | 12 y | 2 |
| A•••• W••••• C••• | Lancaster, Pa | Aug 4, 2025 | 33 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- A•••• W••••• C••• from M•• I•••••••• S•••••••• L••Aug 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••••• P••• E••••• from M•• I•••••••• S•••••••• L••Aug 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• J••••• S••••• from M•• I•••••••• S•••••••• L••Aug 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- P••• K••••• B••••••• from M•• I•••••••• S•••••••• L••Aug 4, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••• M• S•••••• from W•••••• A•••••••• L•••Aug 4, 2025 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from M•• I•••••••• S•••••••• L••Aug 5, 2025 · Lancaster, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• A••••• W••••• · Managing Directorcontrolsince 08/2025 · owns 25% to 50%
- E•••••• J••••••• P••• · Managing Directorcontrolsince 08/2025 · owns 10% to 25%
- S•••••• A•••••• J••••• · Managing Directorcontrolsince 08/2025 · owns 10% to 25%
- S••••••• C••••••• M• · Managing Directorcontrolsince 08/2025 · owns 10% to 25%
- B•••••••• P•••• K••••• · Chief Compliance Officersince 05/2026 · 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 |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jul 15, 2026 to Sep 1, 2026
- Related adviser · false to unsetJul 15, 2026 to Sep 1, 2026
- Related bank · false to unsetJul 15, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetJul 15, 2026 to Sep 1, 2026
- Related insurance company · false to unsetJul 15, 2026 to Sep 1, 2026
- Succession · false to unsetJul 15, 2026 to Sep 1, 2026
- Accounts · 1,146 to 2,368Dec 22, 2025 to Feb 27, 2026
- HNW clients · 31 to 137Dec 22, 2025 to Feb 27, 2026
- Individual clients · 1,068 to 843Dec 22, 2025 to Feb 27, 2026
- Assets in custody · $7.4M to $213MDec 22, 2025 to Feb 27, 2026
- Financial planning clients · 0 to 1-10Dec 22, 2025 to Feb 27, 2026
- Discretionary RAUM · $252M to $312MDec 22, 2025 to Feb 27, 2026
- HNW RAUM · $44.0M to $210MDec 22, 2025 to Feb 27, 2026
- Individual RAUM · $212M to $102MDec 22, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $128M to $127MDec 22, 2025 to Feb 27, 2026
- Pension RAUM · $123M to $127MDec 22, 2025 to Feb 27, 2026
- RAUM · $379M to $440MDec 22, 2025 to Feb 27, 2026
- Accounts · 0 to 1,146Aug 11, 2025 to Nov 20, 2025
- BD registered reps · 1 to 0Aug 11, 2025 to Nov 20, 2025
- Charity clients · unset to 0.0Aug 11, 2025 to Nov 20, 2025
- Corporate clients · unset to 0.0Aug 11, 2025 to Nov 20, 2025
- HNW clients · unset to 31.0Aug 11, 2025 to Nov 20, 2025
- Individual clients · unset to 1068.0Aug 11, 2025 to Nov 20, 2025
- Pension plan clients · unset to 30.0Aug 11, 2025 to Nov 20, 2025
- Pooled vehicle clients · unset to 0.0Aug 11, 2025 to Nov 20, 2025
- Assets in custody · unset to 7381417.0Aug 11, 2025 to Nov 20, 2025
- Custody of client assets · false to trueAug 11, 2025 to Nov 20, 2025
- Financial planning clients · 0 to 0Aug 11, 2025 to Nov 20, 2025
- Discretionary RAUM · $0 to $252MAug 11, 2025 to Nov 20, 2025
- HNW RAUM · unset to 44046000.0Aug 11, 2025 to Nov 20, 2025
- Individual RAUM · unset to 212387000.0Aug 11, 2025 to Nov 20, 2025
- Non-discretionary RAUM · $0 to $128MAug 11, 2025 to Nov 20, 2025
- Pension RAUM · unset to 122986400.0Aug 11, 2025 to Nov 20, 2025
- Pooled vehicle RAUM · unset to 0.0Aug 11, 2025 to Nov 20, 2025
- RAUM · $0 to $379MAug 11, 2025 to Nov 20, 2025
- Business name · R•• I••••••••• A••••••• to V••••• W•••••Jul 23, 2025 to Aug 11, 2025
- Legal name · R•• I••••••••• A•••••••, LLC to V••••• W••••• L••Jul 23, 2025 to Aug 11, 2025
Signals
1 dated events
- 4 advisors left M•• I•••••••• S•••••••• L•• (Lancaster, PA) for V••••• W••••• on the same dayAug 5, 2025 · Team lift-out · derived
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 phone
- 844-682-6887reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- vantuswealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 844-682-6887reportedpublic record, Form ADV, Sep 1, 2026
- Team page
- vantuswealth.com/teamreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $88.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026