DFX Intelligence

O•• G•••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

O•• G•••• A•••• M••••••••• L••

CRD 126013

MALVERN, PA

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Search this name across graphsid dfx:ria:075cecc7-fc65-adaf-ecba-b59a8b58e314

Data as of Mar 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Dec 2, 2011 to Mar 18, 2026
22 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.71 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $656M••• Locked
Discretionary RAUM: $656M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• J•••• J•••••	PRESIDENT/CO-FOUNDER	C	yes	03/2003	Dec 2, 2011	Mar 23, 2024
D••••••••• M•••• J•••	CEO/CCO/CO-FOUNDER	D	yes	03/2003	Dec 2, 2011	Mar 23, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	2	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$656M	$569M	15.4%	$405M	17.4%	2	2	1	1

Relationships

Controls (2)

← D••••••••• J•••• J•••••OwnerPRESIDENT/CO-FOUNDER, ownership code C, individual
Dec 2, 2011 to Mar 23, 2024factForm ADV
← D••••••••• M•••• J•••OwnerCEO/CCO/CO-FOUNDER, ownership code D, individual
Dec 2, 2011 to Mar 23, 2024factForm ADV

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
O•• G•••• A•••• M••••••••• L•• reported RAUM $405.5M, down 34% from $618.0M (2022-05-24 to 2023-03-31)
Form ADVobserved 7 days ago
$-213M
Occurred
Mar 11, 2021
Regulatory AUM changed
O•• G•••• A•••• M••••••••• L•• reported RAUM $564.6M, up 40% from $403.3M (2020-08-28 to 2021-03-11)
Form ADVobserved 7 days ago
$161M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:075cecc7-fc65-adaf-ecba-b59a8b58e314
First observed: Dec 2, 2011
Last observed: Mar 18, 2026 6 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.