DFX Intelligence

C••••• F••••••••• W••••• P•••••••• 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

C••••• F••••••••• W••••• P•••••••• L••

CRD 167479

NEW YORK, NY

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Search this name across graphsid dfx:ria:3f551ac1-8eed-83b7-7f7c-badaba805619

Data as of Jul 11, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 33
Dated events: 1
On other graphs: 0
Observed: Apr 17, 2013 to Jul 11, 2017
22 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: $426M••• Locked
Discretionary RAUM: $423M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• T••••• J•••••	DIRECTOR, GLOBAL OPERATIONS	Na	yes	03/2013	Apr 17, 2013	Jul 11, 2017
B•••••• S•••••	CHIEF FINANCIAL OFFICER	Na	yes	04/2015	May 15, 2015	Jul 11, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• F••••••••• I••••••••• A•••••••• L•••	n/a	Mixed wealth	$3.2B	N	yes	n/a
F••••• P••••••• L••	n/a	Former SEC adviser	$10.7M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Lansing	Mi	United States	n/a	no
Conshohocken	Pa	United States	n/a	no
Pittsburgh	Pa	United States	n/a	no
Yardley	Pa	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 30, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$426M	$401M	6.2%	$346M	7.2%	16	27	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R• A•••••••• • A••••••••• L••	2	Jan 4, 2018	Jan 8, 2018	PITTSBURGH, PA	Team lift out	Other	40.0%

Relationships

Affiliated with (4)

→ F••••• P••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• F••••••••• I••••••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV
→ C••••• C••••••••• A••••••••Registered adviserother investment adviser, common control
factForm ADV
→ RESOLUTION RECOVERY PARTNERS MANAGER, LLCRegistered adviserother investment adviser, common control

Dated events

Occurred
Apr 17, 2013
First Form ADV filing
C••••• F••••••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3f551ac1-8eed-83b7-7f7c-badaba805619
First observed: Apr 17, 2013
Last observed: Jul 11, 2017 112 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.