DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••••••• V•••••••
Legal name R•••••••• V••••••• D•• L••
Latest filing Aug 28, 2026
First filing on the tape Nov 21, 2025 · 3 filings
SEC status approved since Jan 5, 2026
RAUM
$717M
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
120
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$717M as of Aug 28, 2026
Nov 21, 2025$0 then
HNW client RAUM$0 as of Aug 28, 2026
Nov 21, 2025$0 then
State-registered IARs (5.B.3)1 as of Aug 28, 2026
Nov 21, 20251 then
Employees (5.A)120 as of Aug 28, 2026
Nov 21, 20259 then
Private funds: no history
Practice profile
derived from the filing of Aug 28, 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
- $717MderivedRAUM 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
- $239MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 120.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 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-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$682M99%
- Pooled investment vehicles$9.8M1.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- 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=true related_bank=false bd_reps=11.0derived
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
- P•••••••• S••••• P•••• · Chief Investment Officercontrolsince 01/2026 · owns less than 5%
- T••• H••• W•• · Chief Compliance Officercontrolsince 11/2025 · owns less than 5%
- V••••• S•••• K•••• · Presidentcontrolsince 10/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 28, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-05-04, yes on the filing of 2026-08-28peers: asset managers, $500M to $1B (784)
- compensation changedChange between filings · filing Aug 28, 2026performance-based compensation (Item 5.E.6): no on the filing of 2026-05-04, yes on the filing of 2026-08-28peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 1 to 3May 4, 2026 to Aug 28, 2026
- Advisory employees · 8 to 7May 4, 2026 to Aug 28, 2026
- Advisory activities · 1 to 2May 4, 2026 to Aug 28, 2026
- BD registered reps · 15 to 11May 4, 2026 to Aug 28, 2026
- Pooled vehicle clients · 0 to 1May 4, 2026 to Aug 28, 2026
- Employees · 125 to 120May 4, 2026 to Aug 28, 2026
- Discretionary RAUM · $655M to $717MMay 4, 2026 to Aug 28, 2026
- Pooled vehicle RAUM · $0 to $9.8MMay 4, 2026 to Aug 28, 2026
- RAUM · $655M to $717MMay 4, 2026 to Aug 28, 2026
- Accounts · 0 to 1Nov 21, 2025 to May 4, 2026
- BD registered reps · 4 to 15Nov 21, 2025 to May 4, 2026
- Employees · 9 to 125Nov 21, 2025 to May 4, 2026
- Discretionary RAUM · $0 to $655MNov 21, 2025 to May 4, 2026
- RAUM · $0 to $655MNov 21, 2025 to May 4, 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
- Firm profile
- linkedin.com/company/robinhoodreportedpublic record, Form ADV, Sep 21, 2026
- Website
- r••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (650)389-9581reportedpublic record, Form ADV, Aug 28, 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