DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

N•••• I••••••••• A••••••• L••

CRD 311014

KING OF PRUSSIA, PA

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Search this name across graphsid dfx:ria:49eab4a0-88a6-5fb6-c849-bd4dc3999c1c

Data as of Sep 26, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Nov 21, 2022 to Sep 26, 2023
5 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: $25.2M••• Locked
Discretionary RAUM: $25.2M
Private client RAUM: $25.2Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $25.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• R•••••• E••••••••	n/a	KING OF PRUSSIA, PA	3	37	3	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••••• A•••••• R••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	05/2022	Nov 21, 2022	Sep 26, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••• F•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

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	0	0	0.0%	0	0	0	0	0

Relationships

Controls (1)

← E••••••••• A•••••• R••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 21, 2022 to presentfactForm ADV

Registered with (1)

← A••••• R•••••• E••••••••Advisorregistration: current employment
Jan 10, 2023 to presentfactForm ADV

Dated events

Occurred
Nov 21, 2022
First Form ADV filing
N•••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:49eab4a0-88a6-5fb6-c849-bd4dc3999c1c
First observed: Nov 21, 2022
Last observed: Sep 26, 2023 36 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.