DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••••••• A••••••• L••

CRD 131186

PITTSBURGH, PA

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Search this name across graphsid dfx:ria:3ca61638-04ef-504a-c621-f09f5b3f01c0

Data as of Jun 14, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jun 14, 2016
10 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: $255M••• Locked
Discretionary RAUM: $1.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• S•••••• C•••	Ceo	E	yes	10/2002	Mar 28, 2012	Jun 14, 2016
P••••• S•••••• C•••	CEO OF MANAGING MEMBER	Na	yes	03/2004	Mar 28, 2012	Jun 14, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• I•••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WEST CONSHOHOCKEN	Pa	United States	n/a	no
n/a	n/a	n/a	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 21, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$255M	$248M	2.9%	$177M	12.9%	6	4	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•• I••••••••• M••••••••• I•••	2	Dec 31, 2016	Aug 26, 2016	PITTSBURGH, PA	Team lift out	Other	66.7%

Relationships

Controls (3)

← R••••• W•••••• A•••••••OwnerVICE CHAIRMAN, ownership code F, individual
Mar 28, 2012 to presentfactForm ADV
← P••••• S•••••• C•••OwnerCEO, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← S••••••••• I•••OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← H•••••• T•••••• R••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3ca61638-04ef-504a-c621-f09f5b3f01c0
First observed: Mar 28, 2012
Last observed: Jun 14, 2016 125 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.