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CRD 105727
HARLEYSVILLE, 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 |
|---|---|---|---|---|---|---|
| B•••••••• K••••••••• V••••••• | DIRECTOR, ESTATE AND CHARITABLE P••••••• | Na | yes | 10/2019 | Nov 12, 2020 | May 28, 2021 |
| E••••••••• D•••••• J•••• | SENIOR FINANCIAL PLANNER, DIRECTOR OF FINANCIAL P••••••• AND INVESTMENT ADVISORY; BOARD OF DIRECTORS | Na | yes | 06/2020 | Nov 12, 2020 | May 28, 2021 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M•••••• H••••• | n/a | n/a | n/a | Y | no | n/a |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 2020 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $816M | $867M | -5.9% | $804M | 0.5% | 18 | 18 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W•••••• F•••••••• A••••••• G•••• L•• | 6 | Dec 31, 2021 | Jan 13, 2022 | HARLEYSVILLE, PA | Firm absorbed | RIA to RIA | 100.0% |
| S••••• F••••••••• L•• | 2 | Oct 20, 2020 | Oct 16, 2020 |
| H•••••• M••••••• L•• | DIRECTOR, TAX P••••••• AND PREPERATION | Na | yes | 02/2016 | Nov 12, 2020 | May 28, 2021 |
| L•••••• B••••••• J••• | SENIOR FINANCIAL PLANNER, DIRECTOR OF CLIENTS SERVICES; BOARD OF DIRECTORS | Na | yes | 06/2020 | Nov 12, 2020 | May 28, 2021 |
| R••••••• S•••• M••• | CHIEF INVESTMENT OFFICER; BOARD OF DIRECTORS | B | yes | 10/2004 | Feb 14, 2012 | May 28, 2021 |
| V••••• R••••••• J••• | CHIEF COMPLIANCE OFFICER (5/2021); PRESIDENT/FOUNDER; BOARD OF DIRECTORS | C | yes | 09/1987 | Feb 14, 2012 | May 28, 2021 |
| R•••••• M••••••• | CHILD OF R•••••• V•••• | B | no | 10/2012 | Mar 26, 2013 | May 28, 2021 |
| V••••• M•••••• | CHILD OF R•••••• V•••• | B | no | 10/2012 | Mar 26, 2013 | May 28, 2021 |
| V••••• M•••• | CHILD OF R•••••• V•••• | B | no | 10/2012 | Mar 26, 2013 | May 28, 2021 |
| V••••• M•••••• | CHILD OF R•••••• V•••• | B | no | 10/2012 | Mar 26, 2013 | May 28, 2021 |
| $816M |
| $811M |
| 19 |
| 5 |
| 1 |
| n/a |
| n/a |
| 2019 | Mar 30, 2020 | $867M | $860M | 18 | 7 | 1 | n/a | n/a |
| 2018 | Feb 15, 2019 | $762M | $748M | 20 | 5 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $804M | $774M | 18 | 5 | 1 | n/a | n/a |
| 2016 | Mar 31, 2017 | $728M | $603M | 19 | 5 | n/a | n/a | n/a |
| 2015 | Mar 8, 2016 | $860M | $0 | 13 | 4 | n/a | n/a | n/a |
| 2014 | Feb 5, 2015 | $881M | $0 | 14 | 4 | n/a | n/a | n/a |
| 2013 | Mar 12, 2014 | $840M | $0 | 13 | 3 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $713M | $0 | 12 | 3 | n/a | n/a | n/a |
| 2011 | Feb 14, 2012 | $641M | $0 | n/a | n/a | n/a | n/a | n/a |
| HARLEYSVILLE, PA |
| Team lift out |
| RIA to ibd |
| 28.6% |