DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 308454
READING, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| King, James, David | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | yes | 01/2020 | Mar 27, 2020 | Mar 19, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Mar 20, 2025 | $279M | $273M | 4 | 3 | 1 | n/a | n/a |
| 2023 | Mar 19, 2024 | $252M | $245M | 3 | 3 | 0 | n/a | n/a |
| 2022 | Mar 28, 2023 | $214M | $210M | 3 | 3 | 0 | n/a | n/a |
| 2021 | Mar 12, 2022 | $237M | $233M | 3 | 3 | 0 | n/a | n/a |
| 2020 | Mar 10, 2021 | $176M | $174M | 4 | 4 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 3 | -3 | n/a | 0 | 0 | 0 | 0 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $279M | $252M | 10.6% | $237M | 5.5% | 4 | 3 | 1 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| DAKOTA WEALTH, LLC | 3 | Dec 18, 2025 | Dec 15, 2025 | READING, PA | Firm absorbed | RIA to RIA | 100.0% |