DFX Intelligence
Reading the graph
Reading the graph
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CRD 285359
PHILADELPHIA, 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 |
|---|---|---|---|---|---|---|
| E••• W•••••• O••••• | Certified Financial Planner | PHILADELPHIA, PA | 9 | 16 | 5 | no |
| E••• R••••• H•••••• | n/a | PHILADELPHIA, PA | 9 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• J••••••••• K•••• | CHIEF OPERATING OFFICER | Na | yes | 05/2025 | Jul 21, 2026 | Jul 21, 2026 |
| C•••••• C••••••• M•••• | BOARD MEMBER | Na | yes | 01/2025 | Jul 21, 2026 | Jul 21, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T•• B••• M••• T•••• C•••••• O• D••••••• | n/a | n/a | n/a | N | yes | n/a |
| W••••••••• S•••••• F••• S••••••• F••••• | n/a | n/a | n/a | N | yes | n/a |
| W••• W••••• M••••••••• L•• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| W••••••••• | De | United States | 11 | no |
| Berwyn | Pa | United States | 3 | no |
| REHOBOTH BEACH | De | United States | 2 | no |
| BOCA RATON | FL | United States | 2 | no |
| Hersey | Pa | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 4 | -1 | 7.3% | 1 | 2 | 0 | 22 | 7 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.5B | $3.0B | 15.7% | $1.8B | 24.0% | 87 | 50 | 8 | 7 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••• C•••••• P•••••••• L•• | 2 | Jan 2, 2019 | Jan 9, 2020 | PHILADELPHIA, PA | Team lift out | RIA to new firm | 22.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | 2 | Sep 3, 2025 | Oct 9, 2025 | DREXEL HILL, PA | Team lift out | Ibd to RIA | 0.1% |
| C••••••••• F•••••••• N•••••• | 2 | Jul 28, 2025 | Jul 30, 2025 |
| no |
| D•••• A•••••• N•••••• | Chartered Financial Analyst | Princeton, NJ | PHILADELPHIA, PA | 8 | 25 | 1 | no |
| G•••••• C••• S••••••• | n/a | PHILADELPHIA, PA | 7 | 24 | n/a | no |
| A••••• N••••• D•••• | Chartered Financial Analyst | PHILADELPHIA, PA | 7 | 11 | n/a | no |
| R••••• J••••• S•••••••• | n/a | PHILADELPHIA, PA | 6 | 32 | 2 | no |
| S••• S••• M••••• | n/a | PHILADELPHIA, PA | 6 | 13 | n/a | no |
| S•••••• B••••• | Chartered Financial Analyst | PHILADELPHIA, PA | 3 | 15 | n/a | no |
| S••• C••••••••• D•••• | Chartered Financial Analyst | Greenville, DE | PHILADELPHIA, PA | 3 | 28 | 5 | no |
| C•••••• O••• P•••••••• | Certified Financial Planner|Chartered Financial Analyst | PHILADELPHIA, PA | Philadelphia, PA | 3 | 21 | 1 | no |
| C••••••••• L••••••• K••••••••• J• | Chartered Financial Analyst | PHILADELPHIA, PA | 3 | 12 | n/a | no |
| L•••••• L•• P••••••• | Certified Financial Planner | Wilmington, DE | PHILADELPHIA, PA | 3 | 24 | 1 | no |
| D•••• M•••• C••••••••• | n/a | Wilmington, DE | PHILADELPHIA, PA | 3 | 22 | 3 | no |
| J••• R•••••• M••••• | Certified Financial Planner | PHILADELPHIA, PA | Wilmington, DE | 3 | 29 | 6 | no |
| M•••••• G••••• P••••••• | Certified Financial Planner | Wilmington, DE | PHILADELPHIA, PA | 3 | 27 | 4 | no |
| S••• L• L••••• | n/a | PHILADELPHIA, PA | Rehoboth Beach, DE | 3 | 16 | 2 | no |
| J•••••••• K•••• B••• | n/a | PHILADELPHIA, PA | Rehoboth Beach, DE | 3 | 22 | 1 | no |
| M•••••••• D••••••••• | n/a | Berwyn, PA | PHILADELPHIA, PA | 3 | 19 | 2 | no |
| L••• A• S•••••••• | n/a | PHILADELPHIA, PA | Berwyn, PA | 3 | 10 | 1 | no |
| J•••• T• B••••• | Chartered Financial Analyst | Berwyn, PA | PHILADELPHIA, PA | 3 | 26 | n/a | no |
| A••••• F••••• B••••• | n/a | Boca Raton, FL | PHILADELPHIA, PA | 3 | 12 | 1 | no |
| A••••• G• K••••• | Certified Financial Planner|Chartered Financial Analyst | PHILADELPHIA, PA | Hershey, PA | 3 | 15 | n/a | no |
| J••••••••• R••••• | n/a | PHILADELPHIA, PA | Boca Raton, FL | 3 | 36 | 1 | no |
| J•••• A••••• H••••••••• | Chartered Financial Analyst | PHILADELPHIA, PA | 2 | 34 | n/a | no |
| A••• M• R••••• | Chartered Financial Analyst | Berwyn, PA | 2 | 28 | n/a | no |
| BOARD MEMBER |
| Na |
| yes |
| 01/2025 |
| Jul 21, 2026 |
| Jul 21, 2026 |
| H••••••• J••••• P•••••• | CHIEF WEALTH OFFICER OFFICER | Na | yes | 10/2023 | Jul 21, 2026 | Jul 21, 2026 |
| S••••••••• R•••••• J••••• | PRESIDENT, CHAIRMAN OF THE BOARD OFFICER | Na | yes | 12/2019 | Jul 21, 2026 | Jul 21, 2026 |
| W•••••• S•••••• L•• | BOARD MEMBER | Na | yes | 01/2025 | Jul 21, 2026 | Jul 21, 2026 |
| B••••• A•••••• J••• | CHAIRMAN OF THE BOARD | Na | yes | 06/2018 | Mar 29, 2019 | Nov 11, 2024 |
| C••••• S••••••• P••• | BOARD MEMBER | Na | yes | 03/2019 | Jul 29, 2019 | Nov 11, 2024 |
| C••••••••• D••••• M• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2023 | Jul 3, 2023 | Nov 11, 2024 |
| S•••••••• G••••••• C••• | BOARD MEMBER | Na | yes | 02/2020 | Mar 10, 2020 | Nov 11, 2024 |
| W••• F•••••••• C•••• | Member | E | yes | 08/2016 | Sep 15, 2016 | Nov 11, 2024 |
| Y•• J•••••• | CHIEF INVESTMENT OFFICER | Na | yes | 06/2024 | Jun 18, 2024 | Nov 11, 2024 |
| P•••••••• S•••••• | BOARD MEMBER | Na | no | 01/2023 | Jul 3, 2023 | Nov 11, 2024 |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| no |
| $3.5B |
| $3.5B |
| 87 |
| 55 |
| 8 |
| n/a |
| n/a |
| 2024 | Jan 23, 2025 | $3.0B | $2.9B | 50 | 32 | 7 | n/a | n/a |
| 2023 | Mar 26, 2024 | $3.0B | $2.9B | 50 | 32 | 5 | n/a | n/a |
| 2022 | Feb 3, 2023 | $1.8B | $1.8B | 34 | 20 | 1 | n/a | n/a |
| 2021 | Mar 31, 2022 | $959M | $944M | 17 | 10 | 0 | n/a | n/a |
| 2020 | Mar 26, 2021 | $757M | $735M | 16 | 10 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $794M | $761M | 14 | 10 | 0 | n/a | n/a |
| 2018 | Mar 29, 2019 | $716M | $715M | 13 | 10 | 0 | n/a | n/a |
| 2017 | Mar 30, 2018 | $861M | $861M | 14 | 13 | 0 | n/a | n/a |
| 2016 | Mar 31, 2017 | $785M | $783M | 17 | 13 | n/a | n/a | n/a |
| BERWYN, PA |
| Team lift out |
| Ibd to RIA |
| 0.1% |
| T••••• A••••••• S•••••••• I••• | 2 | Nov 25, 2024 | Feb 12, 2025 | KINGS OF PRUSSIA, PA | Team lift out | Ibd to RIA | 0.1% |
| B••• R••• C••••••• L•• | 3 | Aug 9, 2023 | Aug 24, 2023 | REHOBOTH BEACH, DE | Firm absorbed | RIA to RIA | 75.0% |
| C•••••• C•••••• M••••••••• L•• | 2 | Feb 3, 2023 | Jan 31, 2023 | W•••••••••, DE | Team lift out | RIA to RIA | 100.0% |
| L•• A••••••••• L•• | 3 | Jan 8, 2020 | Jul 6, 2023 | GREENVILLE, DE | Firm absorbed | RIA to RIA | 100.0% |
| W••• C•••••• M••••••••• I••• | 10 | Mar 30, 2017 | Oct 18, 2016 | PHILADELPHIA, PA | Firm absorbed | Other | 100.0% |