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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••••• I••••••• S••••••• I••

CRD 106993

WYOMISSING, PA

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Search this name across graphsid dfx:ria:4ae68784-c6ea-1170-7f30-3f5e80949305

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 38
Dated events: 6
On other graphs: 2
Observed: Mar 30, 2012 to Sep 9, 2026
33 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C•••••• I••••••• S••••••• I••

Private equity manager · shared crd

Venture Capitalidentity

C•••••• I••••••• S••••••• I••

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.68 fund_share=0.14 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3BItem 5.F on the latest filing (2026-09-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
Private client RAUM: $866MderivedItem 5.D individuals plus high net worth individuals
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• S••••••••	Certified Financial Planner	WYOMISSING, PA	28	29	n/a	no
P•••• J•••• C••••••	Chartered Financial Analyst	WYOMISSING, PA	24	34

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•• I••••• • G••••• P•••••••	Other Private Fund	$27.8M	Sep 9, 2026	78	Mar 30, 2012	reported	021-915045
C•• H••••• G••••• P•••••••	Other Private Fund	$27.8M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• R•••••• J•••	VICE PRESIDENT	Na	yes	04/2002	Sep 9, 2026	Sep 9, 2026
C••••••• P••••• J••••	PRESIDENT, DIRECTOR, TREASURER, TRUSTEE	D	yes	04/2001	Sep 9, 2026

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$1.2B	6.4%	$968M	9.8%	10	9	0	0

Relationships

Registered with (10)

← B••••••• R••••• C••••••Advisorregistration: current employment
Nov 12, 2024 to presentfactForm ADV
← R••• F• M•••••••Advisorregistration: current employment
Mar 22, 2022 to presentfactForm ADV
← D••••• M• C•••••Advisorregistration: current employment
Jan 8, 2018 to presentfactForm ADV
← R••••• W• H•••

Dated events

Occurred
Jan 12, 2024
Control person joined
F Ryan Mccallum (Vice President) appeared on Schedule A of C•••••• I••••••• S••••••• I••
Form ADVobserved 7 days ago
Occurred
Mar 30, 2023
Control person left
J Michael Noon (Vice President) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2022-11-04, absent 2023-03-30)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2022
Control person left
William Moran (Shareholder) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2021-05-10, absent 2022-03-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4ae68784-c6ea-1170-7f30-3f5e80949305
First observed: Mar 30, 2012
Last observed: Sep 9, 2026 13 days 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.

Controls (15)

← P••••••••• S•••••• E•••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← M••••• B••••• G•••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← C•••••••• R•••••• J•••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← F•••••• R••••••• J••OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← S••••••••• S•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← H•••• R•••••• W•OwnerVICE PRESIDENT, ownership code NA, individual
Mar 20, 2018 to Oct 22, 2024factForm ADV
← M•••••• M•••••OwnerDIRECTOR, ownership code B, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← C••••••• P••••• J••••OwnerPRESIDENT, DIRECTOR, TREASURER, TRUSTEE, ownership code D, individual
Mar 30, 2012 to Oct 22, 2024factForm ADV
← C•••••• D•••••• M•OwnerVICE PRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 20, 2018 to Oct 22, 2024factForm ADV
← M•••••••• R•••• F•OwnerVICE PRESIDENT, ownership code NA, individual
Jan 12, 2024 to Oct 22, 2024factForm ADV
← O•••••• P•••• G•OwnerDIRECTOR, ownership code NA, individual
Mar 30, 2015 to Oct 22, 2024factForm ADV
← C•••••••• K••••• F••••••OwnerDIRECTOR, ownership code NA, individual
Mar 29, 2016 to Oct 22, 2024factForm ADV
← D••••••••• J••• C••••••OwnerTRUSTEE, ownership code NA, individual
Apr 1, 2021 to Oct 22, 2024factForm ADV
← C••••••• A••• M• R•••••••• T••••OwnerSHAREHOLDER A••• M. C•••••• TRUSTEE TO A••• M. C•••••• R•••••••• TRUST, ownership code NA, domestic entity
Mar 31, 2020 to Oct 22, 2024factForm ADV
← C••••••• J•••• M• I••••••••• T••••OwnerSHAREHOLDER A••• M. C•••••• TRUSTEE TO J•••• M. C•••••• I••••••••• TRUST, ownership code NA, domestic entity
Mar 31, 2020 to Oct 22, 2024factForm ADV

2025	Mar 31, 2026	$1.3B	$1.3B	10	10	0	9	n/a
2024	Mar 31, 2025	$1.2B	$1.2B	9	9	0	9	n/a
2023	Jan 12, 2024	$1.1B	$1.1B	9	9	0	7	$111M
2022	Mar 30, 2023	$968M	$968M	9	8	0	7	$109M
2021	Apr 30, 2022	$1.2B	$1.2B	10	9	0	7	$145M
2020	Apr 1, 2021	$980M	$980M	10	9	0	7	$124M
2019	Mar 31, 2020	$938M	$938M	10	9	0	7	$114M
2018	Mar 28, 2019	$801M	$801M	11	10	0	7	$102M
2017	Mar 20, 2018	$846M	$846M	12	11	0	8	$109M
2016	Mar 25, 2017	$719M	$719M	11	9	n/a	8	$96.7M
2015	Mar 29, 2016	$660M	$660M	11	9	n/a	7	$84.3M
2014	Mar 30, 2015	$588M	$588M	11	9	n/a	7	$81.0M
2013	Mar 31, 2014	$522M	$522M	11	9	n/a	7	$75.6M
2012	Mar 27, 2013	$386M	$386M	10	8	n/a	7	$59.0M
2011	Mar 30, 2012	$362M	$362M	n/a	n/a	n/a	7	$52.1M