DFX Intelligence

C•• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

C•• A•••••••• I•••

CRD 112100

KING OF PRUSSIA, PA

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Search this name across graphsid dfx:ria:083f6c28-61b3-7b32-58ea-6b3e0b250f19

Data as of Jun 20, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Jun 20, 2012
3 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Custody, client assets: $0
SEC number: 801-56954
CRD: 112100
Filings on the tape: 3
First filed: Mar 26, 2012
Latest filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S••••••• B••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	E	yes	08/1999	Mar 26, 2012	Jun 20, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C•••••• M••••••••• G••••• I•••	n/a	Independent wealth	$257M	Y	yes	n/a
C•• I••••••••• A•••••••••	n/a	Former SEC adviser	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 26, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ C•• C•••••• M••••••••• G••••• I•••Registered adviserother investment adviser, control, common control
factForm ADV
→ C•• I••••••••• A•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
← C•• I••••••••• A•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (1)

← B••••••••• S••••••• B••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:083f6c28-61b3-7b32-58ea-6b3e0b250f19
First observed: Mar 26, 2012
Last observed: Jun 20, 2012 173 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.