Victory Asset Management Co., Inc.
- Regulatory AUM
- $102M
- Discretionary
- $102M
- Clients
- 364
- Avg AUM / client
- $281K
- Accounts
- 363
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 338 | $42.3M | 41.3% |
| High net worth individuals | 13 | $21.1M | 20.6% |
| Pension and profit sharing plans | 13 | $39.0M | 38.1% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Howard Roy Verfaillie | Chief Executive Officer/Chief Compliance Officer | Aug 1995 (31y) | 50% – 75% | |
| Ashley Renee Rosser | President/Compliance Officer | Feb 2009 (18y) | 50% – 75% | |
| Jacob Riloff | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Diane Susan Taylor | Registered representative | Jun 2024 (2y) | ||
| Andrew Johnston | Registered representative | Jan 2025 (2y) |
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: ON JULY 14, 2022, THE FIRM AND THE COMMONWEALTH OF MASSACHUSETTS, OFFICE OF THE SECRETARY OF THE COMMONWEALTH, SECURITIES DIVISION EXECUTED A SETTLEMENT. THE SETTLEMENT ARISES FROM THE FIRM'S FAILURE TO FILE A RENEWAL IAR REGISTRATION IN THE COMMONWEALTH OF MASSACHUSETTS FOR THE YEAR 2021, BY THE REGISTRATION DEADLINE. THE SETTLEMENT STIPULATES THE FIRM AGREES TO PAY A FINE OF $40,000 TO THE COMMONWEALTH OF MASSACHUSETTS, AGREES TO REVIEW ITS POLICIES AND PROCEDURES, AGREES TO CENSURE WITH RESPECT TO THE CONDUCT DESCRIBED, AND AGREE TO PERMANENTLY CEASE AND DESIST FROM FUTURE VIOLATIONS OF THE PERTINENT MASSACHUSETTS LAWS. Status: Final Sanction Detail: $40,000.00 FINE, CENSURE. Summary: ON JULY 14, 2022, THE FIRM AND THE COMMONWEALTH OF MASSACHUSETTS, OFFICE OF THE SECRETARY OF THE COMMONWEALTH, SECURITIES DIVISION EXECUTED A SETTLEMENT IN THIS MATTER. SETTLEMENT INCLUDED A $40,000.00 FINE, CEASE AND DESIST, AND CENSURE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- Lincoln Financial Advisors Corporation $63.4M (62% of AUM) Mar 2026
- Mid Atlantic Capital Corporation $24.8M (24% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗