DFX Intelligence

R••••••••• P••••••• S•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R••••••••• P••••••• S•••••••••

R••••••••• P••••••• S•••••••••, INC., CRD 157811

WILLOW GROVE, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:0042c00e-dd02-9ea4-02c1-fdd7cce9fbc1

Data as of Mar 4, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 25, 2013 to Mar 4, 2021
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $197M••• Locked
Discretionary RAUM: $197M
Private client RAUM: $197Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• J•••••• P•••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	05/2011	Mar 25, 2013	Mar 4, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$197M	$190M	4.1%	$150M	9.5%	7	7	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•••••• S•• I••••••••• A•••••••• L•••••	4	Dec 23, 2021	May 5, 2021	WILLOW GROVE, PA	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (1)

← S••••••• J•••••• P•••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 25, 2013 to presentfactForm ADV

Registered with (4)

← J••••• P••••• S••••••Advisorregistration: previous registration
Jul 29, 2011 to Dec 31, 2021factForm ADV
← C••••••••• M• S••••Advisorregistration: previous registration
Jul 29, 2011 to Dec 31, 2021factForm ADV
←

Dated events

Occurred
Mar 25, 2013
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0042c00e-dd02-9ea4-02c1-fdd7cce9fbc1
First observed: Mar 25, 2013
Last observed: Mar 4, 2021 67 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.