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CRD 133722
MALVERN, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| M•••••• S••••••• D•••••• | n/a | MALVERN, PA | 16 | 32 | 1 | no |
| M••• A•••••••• H•••••••• | n/a | MALVERN, PA | 16 | 42 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••• G•••• I•• | DIRECT OWNER | E | yes | 06/2022 | Mar 2, 2023 | Dec 3, 2024 |
| W••••••• B••••• J•• | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2009 | May 29, 2012 | Dec 3, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 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 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $4.6B | $4.0B | 13.8% | $3.4B | 10.1% | 5 | 5 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| F•• S••••••••• C••••••••• | 3 | Jan 7, 2015 | Dec 24, 2009 | EXTON, PA | Team lift out | Other | 0.6% |
| no |
| B•••• J•• W•••••• | n/a | MALVERN, PA | 16 | 37 | 2 | no |
| INDIRECT OWNER |
| E |
| no |
| 06/2022 |
| Mar 2, 2023 |
| Dec 3, 2024 |
| A•••• G•••• I••••••••• H••••••• | INDIRECT OWNER | E | no | 06/2022 | Mar 2, 2023 | Dec 3, 2024 |
| A•••• G•••• U••••••• H••••••• | INDIRECT OWNER | E | no | 06/2022 | Mar 2, 2023 | Dec 3, 2024 |
| G•••••• C•••••• P••••••• | INDIRECT OWNER | C | no | 06/2022 | Mar 2, 2023 | Dec 3, 2024 |
| G•••••• X• A•••• G•••• H••••••• | INDIRECT OWNER | C | no | 06/2022 | Mar 2, 2023 | Dec 3, 2024 |
| Mar 24, 2026 |
| $4.6B |
| $4.1B |
| 5 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 25, 2025 | $4.0B | $3.6B | 5 | 3 | 1 | n/a | n/a |
| 2023 | Apr 19, 2024 | $3.7B | $3.3B | 5 | 3 | 1 | n/a | n/a |
| 2022 | Mar 2, 2023 | $3.4B | $3.1B | 5 | 3 | 1 | n/a | n/a |
| 2021 | Mar 24, 2022 | $3.4B | $3.2B | 5 | 3 | 1 | n/a | n/a |
| 2020 | Mar 3, 2021 | $3.1B | $2.8B | 5 | 3 | 1 | n/a | n/a |
| 2019 | Apr 28, 2020 | $2.3B | $2.1B | 5 | 3 | 1 | n/a | n/a |
| 2018 | Mar 28, 2019 | $2.3B | $2.1B | 5 | 3 | 1 | n/a | n/a |
| 2017 | Mar 31, 2018 | $2.3B | $2.0B | 7 | 7 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $2.0B | $1.8B | 7 | 4 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $1.9B | $1.7B | 7 | 4 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $2.1B | $1.8B | 7 | 4 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $1.7B | $1.6B | 7 | 4 | n/a | n/a | n/a |
| 2012 | Apr 1, 2013 | $1.7B | $1.5B | 7 | 4 | n/a | n/a | n/a |
| 2011 | May 29, 2012 | $1.5B | $1.3B | n/a | n/a | n/a | n/a | n/a |