DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

P•• F••••••••

CRD 165369

NEWTOWN, PA

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Search this name across graphsid dfx:ria:489e9892-ba66-176a-0dea-015ee82d5b43

Data as of Jan 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 8
On other graphs: 0
Observed: Sep 13, 2012 to Jan 28, 2025
19 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: $268M••• Locked
Discretionary RAUM: $268M
Private client RAUM: $268Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• J••••• M••••••	Owner	A	yes	07/2013	Jun 24, 2020	Feb 21, 2024
C•••••••• M••••••• D••••	PRINCIPAL/CHIEF COMPLIANCE OFFICER	C	yes	08/2012	Sep 13, 2012	Feb 21, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jan 28, 2025

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	3	-3	n/a	0	0	0	0	3

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	$268M	$232M	15.3%	$217M	7.3%	4	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P• N••• F•••••••• S••••••• L••	3	Dec 31, 2025	Mar 27, 2026	NEWTOWN, PA	Firm absorbed	RIA to RIA	100.0%

Relationships

Moved with (1)

→ P• N••• F•••••••• S••••••• L••Registered adviser3 advisors, firm absorbed, same day
Dec 31, 2025 to Mar 27, 2026factForm ADV

Registered with (3)

← M•••••• D•••• C•••••••Advisorregistration: previous registration
Jan 14, 2013 to Dec 31, 2025factForm ADV
← K•••••• C•••••• C•••••••Advisorregistration: previous registration
Jan 14, 2013 to Dec 31, 2025factForm ADV

Dated events

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

Occurred
Dec 31, 2025
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
3 advisors
Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 31, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 31, 2025

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:489e9892-ba66-176a-0dea-015ee82d5b43
First observed: Sep 13, 2012
Last observed: Jan 28, 2025 20 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.