DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM 100m 1b

G••• Q•••• A•••••••• L••

CRD 159361

BERWYN, PA

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Search this name across graphsid dfx:ria:14838710-0f90-f2d8-b464-dfafc3e9e579

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Jun 29, 2026 to Jun 29, 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $109M••• Locked
Discretionary RAUM: $109M
Private client RAUM: $108Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Employees: 2
Advisory employees: 2
Offices

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••• C••••••••• E••••	Certified Financial Planner	BERWYN, PA	14	17	1	no

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	1	-1	n/a	0	0	0	0	1

Relationships

Registered with (2)

← E••• C••••••••• E••••Advisorregistration: current employment
Feb 28, 2012 to presentfactForm ADV
← LISA ANNE BROOMEAdvisorregistration: previous registration
Sep 22, 2014 to Jun 22, 2026factForm ADV

Dated events

Occurred
Jun 22, 2026
Advisor changed firm
Lisa Anne Broome left G••• Q•••• A•••••••• L•• for Blbb Advisors (registered 2026-05-04)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14838710-0f90-f2d8-b464-dfafc3e9e579
First observed: Jun 29, 2026
Last observed: Jun 29, 2026 2 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.