DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

A•••• R••• I••••••••• L••

CRD 335453

MALVERN, PA

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Search this name across graphsid dfx:ria:23f41d6e-8181-88cd-2180-db4b317567e2

Data as of Jul 14, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 1
On other graphs: 0
Observed: Apr 7, 2025 to Jul 14, 2025
4 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: $16.5M••• Locked
Discretionary RAUM: $16.5M
Private client RAUM: $16.5Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $16.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• A••••• S••••••••	n/a	MALVERN, PA	1	25	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 7, 2025	$0	$0	1	1	0	n/a	n/a

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	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$16.5M	n/a	n/a	n/a	n/a	1	n/a	0	n/a

Relationships

Registered with (1)

← B•••• A••••• S••••••••Advisorregistration: current employment
Apr 7, 2025 to presentfactForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Show 1 bookkeeping events

Occurred
Sep 2, 2025
A•••• R••• I••••••••• L•• no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $16.5M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23f41d6e-8181-88cd-2180-db4b317567e2
First observed: Apr 7, 2025
Last observed: Jul 14, 2025 14 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.