DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

A•• F••••••••• L••

CRD 285183

BALA CYNWYD, PA

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Search this name across graphsid dfx:ria:3d9b3ec6-8443-4752-f56b-c7773fde8bf1

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 6
On other graphs: 0
Observed: Sep 15, 2023 to Mar 11, 2026
12 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 15
Employees: 65
Advisory employees: 63
Offices: 30Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• S••••• M••••••	n/a	BALA CYNWYD, PA \| Jenkintown, PA	3	16	n/a	no
C••• W•••• R•••	n/a	BALA CYNWYD, PA	2	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• K••••• S•••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	01/2023	Sep 15, 2023	Mar 25, 2024
W•••••• G••••••• H•••••••	MANAGING MEMBER	D	yes	01/2023	Sep 15, 2023	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• L•••• A•••••••• L••	n/a	n/a	n/a	Y	no	n/a
P•• A•••••••• L••	n/a	State registered	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Blacksburg	Va	United States	3	no
EL PASO	TX	United States	2	no
Oakland	CA	United States	1	no
PALO ALTO	CA	United States	1	no
Sacramento	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 11, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	6.7%	0	0	0	3	4

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	n/a	n/a	65	46	30	30

Relationships

Registered with (19)

← H••••• K••• J••••••Advisorregistration: current employment
May 20, 2026 to presentfactForm ADV
← R•••••• E•••••• V•••••••••Advisorregistration: current employment
Apr 27, 2026 to presentfactForm ADV
← S••• A••••• K•••••Advisorregistration: current employment
Mar 5, 2026 to presentfactForm ADV
← L•••• B• R••••

Dated events

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

Occurred
Apr 16, 2026
Advisor changed firm
Federico Alberto V••••••••• left A•• F••••••••• L•• for Mexus Wealth Management (registered 2025-03-28)
Form ADVobserved 7 days ago
Occurred
Aug 18, 2025
Advisor changed firm
Jennifer Lynn Anderson left A•• F••••••••• L•• for Equitable Advisors, Llc (registered 2025-08-14)
Form ADVobserved 7 days ago
Occurred
Sep 27, 2024
Advisor changed firm
Aaron D••••• H••••• left A•• F••••••••• L•• for Ameritas Advisory Services, Llc (registered 2026-08-11)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3d9b3ec6-8443-4752-f56b-c7773fde8bf1
First observed: Sep 15, 2023
Last observed: Mar 11, 2026 6 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.