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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

MERCAP ADVISORS, INC.

CRD 170092

PAOLI, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1a324c0c-365e-227d-7837-a7dabf8f02e4

Data as of Nov 18, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2014 to Nov 18, 2015
16 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
Regulatory AUM: $0Item 5.F on the latest filing (2015-11-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 14
Advisory employees: 10
Accounts: 0
SEC number: 801-79319
CRD: 170092
Filings on the tape: 16
First filed: Feb 28, 2014
Latest filed: Nov 18, 2015
Organised: Corporation, Georgia

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HOLLOWAY, LAREE, L	Director	Na	yes	06/2015	Jun 30, 2015	Nov 18, 2015
POPE, DALE, ALLAN	PRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER	Na	yes	06/2015	Jun 30, 2015	Nov 18, 2015
REILLY, MEGEN, ANN	DIRECTOR OF OPERATIONS	Na	yes	06/2015	Jun 30, 2015	Nov 18, 2015
SFA HOLDINGS, INC.	Shareholder	E	yes	12/2013	Feb 28, 2014	Nov 18, 2015
SULLIVAN, JULIE, ANN	Director	Na	yes	06/2015	Feb 28, 2014	Nov 18, 2015

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THE STRATEGIC FINANCIAL ALLIANCE, INC.	n/a	Bd affiliated wealth	$382M	N	yes	n/a
MERCAP SECURITIES, LLC	n/a	n/a	n/a	N	yes	n/a
SFA INSURANCE SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 23, 2015	$0	$0	2	0	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$0	n/a	n/a	n/a	n/a	14	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
CADARET GRANT & CO INC	2	Dec 18, 2020	Dec 17, 2020	PAOLI, PA	Team lift out	Other	100.0%
ALMANACK INVESTMENT PARTNERS	2	Nov 3, 2020	Nov 5, 2020	PAOLI, PA	Team lift out	Other	40.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERION WEALTH PARTNERS, LLC	5	Jan 5, 2016	Aug 11, 2015	BETHLEHEM, PA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (1)

→ THE STRATEGIC FINANCIAL ALLIANCERegistered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (5)

← SULLIVAN, JULIE, ANNOwnerDIRECTOR, ownership code NA, individual
Feb 28, 2014 to presentfactForm ADV
← POPE, DALE, ALLANOwnerPRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 30, 2015 to presentfactForm ADV
← HOLLOWAY, LAREE, LOwnerDIRECTOR, ownership code NA, individual
Jun 30, 2015 to presentfactForm ADV
← REILLY, MEGEN, ANNOwnerDIRECTOR OF OPERATIONS, ownership code NA, individual
Jun 30, 2015 to presentfactForm ADV
← SFA HOLDINGS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Feb 28, 2014 to presentfactForm ADV

Registered with (11)

← DANIEL GREGORY NIGITOAdvisorregistration: previous registration
Aug 11, 2015 to Dec 18, 2020factForm ADV
← DAVID WEIKERTAdvisorregistration: previous registration
Aug 11, 2015 to Dec 18, 2020factForm ADV
← MICHAEL DENNIS MALONEAdvisorregistration: previous registration
Jul 6, 2015 to Nov 5, 2020factForm ADV
← Dale A PopeAdvisorregistration: previous registration
Aug 11, 2015 to Nov 3, 2020factForm ADV
← Brendan M GilmoreAdvisorregistration: previous registration
Aug 11, 2015 to Nov 3, 2020factForm ADV
← MORRIS KAUFMANAdvisorregistration: previous registration
Feb 23, 2017 to Nov 2, 2020factForm ADV
← Robert Todd ValleauAdvisorregistration: previous registration
Jan 5, 2018 to Nov 2, 2020factForm ADV
← Joseph A PalmaAdvisorregistration: previous registration
Sep 12, 2017 to Sep 5, 2019factForm ADV
← STANLEY DANIEL STANEKAdvisorregistration: previous registration
Dec 8, 2017 to Feb 19, 2019factForm ADV
← WALTER THOMAS WANDALLAdvisorregistration: previous registration
Aug 11, 2015 to Aug 4, 2017factForm ADV
← Joseph Patrick MylotteAdvisorregistration: previous registration
Mar 27, 2017 to Jul 24, 2017factForm ADV

Moved with (3)

→ CADARET GRANT & CO INCRegistered adviser2 advisors, team lift out, same day
Dec 18, 2020 to Dec 17, 2020factForm ADV
→ ALMANACK INVESTMENT PARTNERSRegistered adviser2 advisors, team lift out
Nov 3, 2020 to Nov 5, 2020factForm ADV
← MERION WEALTH PARTNERS, LLCRegistered adviser5 advisors, firm absorbed, same day
Jan 5, 2016 to Aug 11, 2015factForm ADV

Dated events

Occurred
Feb 28, 2014
First Form ADV filing
S&G, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a324c0c-365e-227d-7837-a7dabf8f02e4
First observed: Feb 28, 2014
Last observed: Nov 18, 2015 132 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.

MERCAP ADVISORS, INC.

CRD 170092

PAOLI, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1a324c0c-365e-227d-7837-a7dabf8f02e4

Data as of Nov 18, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:42 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOLLOWAY, LAREE, L

Director

yes

06/2015

Jun 30, 2015

Nov 18, 2015

POPE, DALE, ALLAN

PRESIDENT, DIRECTOR & CHIEF COMPLIANCE OFFICER

yes

06/2015

Jun 30, 2015

Nov 18, 2015

REILLY, MEGEN, ANN

DIRECTOR OF OPERATIONS

yes

06/2015

Jun 30, 2015

Nov 18, 2015

SFA HOLDINGS, INC.

Shareholder

yes

12/2013

Feb 28, 2014

Nov 18, 2015

SULLIVAN, JULIE, ANN

Director

yes

06/2015

Feb 28, 2014

Nov 18, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THE STRATEGIC FINANCIAL ALLIANCE, INC.

n/a

Bd affiliated wealth

$382M

yes

n/a

MERCAP SECURITIES, LLC

n/a

yes

n/a

SFA INSURANCE SERVICES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 23, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

CADARET GRANT & CO INC

Dec 18, 2020

Dec 17, 2020

PAOLI, PA

Team lift out

Other

100.0%

ALMANACK INVESTMENT PARTNERS

Nov 3, 2020

Nov 5, 2020

PAOLI, PA

Team lift out

Other

40.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERION WEALTH PARTNERS, LLC

Jan 5, 2016

Aug 11, 2015

BETHLEHEM, PA

Firm absorbed

Other

100.0%