DFX Intelligence

H•••••• W••••• M••••••••• L•••••: 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

H•••••• W••••• M••••••••• L•••••

CRD 118114

WYOMISSING, 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:02bea510-6051-2190-1621-758d2dd53ba0

Data as of Mar 18, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 0
On other graphs: 0
Observed: Feb 7, 2012 to Mar 18, 2016
10 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: $284M••• Locked
Discretionary RAUM: $283M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• J••••• A••••••	Member	Na	yes	01/2014	Feb 6, 2014	Mar 18, 2016
M•••••• W••••••• A•••••	President	C	yes	05/1999	Feb 7, 2012	Mar 18, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 18, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$284M	$288M	-1.4%	$263M	2.6%	5	4	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B••••••••• S•••••••• W•••••• L••	6	Nov 16, 2016	Nov 3, 2016	WYOMISSING, PA	Firm absorbed	Other	100.0%

Relationships

Controls (6)

← R••••••••• C•••••• A••OwnerPARTNER, ownership code A, individual
Feb 7, 2012 to presentfactForm ADV
← W•••••• S••••• A••••OwnerCHIEF COMPLIANCE OFFICER AND MEMBER, ownership code NA, individual
Feb 6, 2014 to presentfactForm ADV
← M•••••• W••••••• A•••••OwnerPRESIDENT, ownership code C, individual
Feb 7, 2012 to presentfactForm ADV
← P••••• T•••••• J•••OwnerMEMBER, ownership code A, individual
Feb 7, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02bea510-6051-2190-1621-758d2dd53ba0
First observed: Feb 7, 2012
Last observed: Mar 18, 2016 128 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.