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CRD 122609
ALLENTOWN, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| R••••• L•• H••••••••• | n/a | Allentown, PA | WYOMISSING, PA | TANNERSVILLE, PA | 28 | 42 | 1 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| C•••••• P••••••• A••••••••• I••••• • G••••• F•••• L•• | Other Private Fund | $13.0M | Jul 28, 2026 | 24 | Mar 29, 2019 | reported | 021-322106 |
| C•••••• P••••••• L•••••• F•••• L•• | Securitized Asset Fund | $4.1M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L•••••••• J•••• R••••• | President | E | yes | 01/2024 | Jul 28, 2026 | Jul 28, 2026 |
| H••••••••• R•••••• L•• | CHIEF COMPLIANCE OFFICER | Na | no | 08/1987 | Jul 28, 2026 | Jul 28, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H•••••• F•••••••• G••••• L•• | n/a | Former SEC adviser | $0 | Y | yes | n/a |
| N••• C•••••• P•••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Wyomissing | Pa | United States | 2 | yes |
| Tannersville | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 10 | -10 | 1000.0% | 0 | 0 | 0 | 1 | 10 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $1.2B | 19.7% | $775M | 23.0% | 1 | 10 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• L•• | 6 | Mar 5, 2026 | Mar 17, 2026 | ALLENTOWN, PA | Firm absorbed | RIA to RIA | 75.0% |
| L••••••• F•••••••• G••••• L•• | 2 | Feb 2, 2026 | Jan 15, 2026 |
| 23 |
| Mar 30, 2018 |
| reported |
| 021-294295 |
| H•• C•••••• G•••• I•• L•• | Real Estate Fund | $3.6M | Jul 28, 2026 | 9 | Apr 1, 2016 | reported | 021-253896 |
| H•• C•••••• G••••• L•• | Real Estate Fund | $1.7M | Jul 28, 2026 | 10 | Apr 1, 2016 | reported | n/a |
| CHIEF INVESTMENT OFFICER |
| Na |
| no |
| 08/2022 |
| Mar 27, 2024 |
| Dec 12, 2024 |
| Mar 29, 2026 |
| $1.4B |
| $708M |
| 1 |
| 1 |
| 2 |
| 4 |
| n/a |
| 2024 | Mar 26, 2025 | $1.2B | $595M | 10 | 10 | 2 | 4 | n/a |
| 2023 | Mar 27, 2024 | $1.0B | $539M | 9 | 9 | 2 | 4 | $23.3M |
| 2022 | Mar 30, 2023 | $775M | $389M | 7 | 7 | 2 | 4 | $21.2M |
| 2021 | Mar 31, 2022 | $845M | $341M | 12 | 5 | 2 | 4 | $19.9M |
| 2020 | Mar 31, 2021 | $696M | $223M | 11 | 4 | 2 | 4 | $13.7M |
| 2019 | Mar 27, 2020 | $597M | $197M | 11 | 5 | 2 | 4 | $10.2M |
| 2018 | Mar 29, 2019 | $504M | $175M | 11 | 6 | 2 | 4 | $9.8M |
| 2017 | Mar 30, 2018 | $455M | $188M | 6 | 6 | 0 | 3 | $8.3M |
| 2016 | May 11, 2017 | $385M | $145M | 6 | 6 | n/a | 2 | $7.2M |
| 2015 | Apr 1, 2016 | $350M | $116M | 5 | 5 | n/a | 2 | $4.9M |
| 2014 | Mar 30, 2015 | $325M | $117M | 9 | 5 | n/a | n/a | n/a |
| 2013 | Mar 13, 2014 | $252M | $96.0M | 9 | 5 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $58.8M | $57.9M | n/a | n/a | n/a | n/a | n/a |
| ALLENTOWN, PA |
| Team lift out |
| RIA to state RIA |
| 20.0% |