DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

L•••• I••••••••• P•••••••• L••

CRD 115956

NEWTOWN SQUARE, PA

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Search this name across graphsid dfx:ria:09d71b49-a013-e805-ccf4-934aa4dbf76d

Data as of May 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 19, 2026 to May 19, 2026
1 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $143M••• Locked
Discretionary RAUM: $134M
Private client RAUM: $142Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $47.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••••• L••••	Certified Financial Planner	NEWTOWN SQUARE, PA	8	15	n/a	no
J•••• L••••	Certified Financial Planner	NEWTOWN SQUARE, PA	5	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• M••••••• J•••••	CCO, MEMBER	E	yes	02/2021	May 19, 2026	May 19, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Relationships

Controls (1)

← L••••• M••••••• J•••••OwnerCCO, MEMBER, ownership code E, individual
May 19, 2026 to presentfactForm ADV

Registered with (3)

← D•••• F•••••• L••••Advisorregistration: current employment
Apr 2, 2024 to presentfactForm ADV
← J•••• L••••Advisorregistration: current employment
Apr 30, 2021 to presentfactForm ADV
← M•••••• J••••• L••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09d71b49-a013-e805-ccf4-934aa4dbf76d
First observed: May 19, 2026
Last observed: May 19, 2026 4 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.