DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 333595
NEWTOWN, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| M•••••• R•••••• S•••• | Certified Financial Planner | NEWTOWN, PA | 1 | 19 | 3 | no |
| J••• K•••••• W•••••••• | n/a | MIAMI BEACH, FL | NEWTOWN, PA | 1 | 34 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•• W••••• P••••••• | HOLDING COMPANY | D | yes | 09/2024 | Oct 28, 2024 | Dec 11, 2024 |
| L•••••• A••• C•••••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 09/2024 | Oct 28, 2024 | Dec 11, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| J••• E••••••••• L•• | n/a | Independent wealth | $722M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 17, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 0 | 4 | 0.0% | 0 | 0 | 0 | 6 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $654M | $308M | 112.5% | n/a | n/a | 6 | 3 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| P•• F•••••••• | 3 | Dec 31, 2025 | Mar 27, 2026 | NEWTOWN, PA | Firm absorbed | RIA to RIA | 100.0% |
| J••• E••••••••• L•• | 2 | Apr 24, 2025 | Jan 10, 2025 |
| no |
| B•••• J••••• H••••••• | Certified Financial Planner | NEWTOWN, PA | 0 | 11 | 3 | no |
| C••••••••• M•••••• | Certified Financial Planner | NEWTOWN, PA | 0 | 24 | 3 | yes |
| K•••••• C•••••• C••••••• | n/a | NEWTOWN, PA | 0 | 24 | 4 | no |
| M•••••• D•••• C••••••• | n/a | NEWTOWN, PA | 0 | 30 | 2 | no |
| MANAGING MEMBER |
| E |
| yes |
| 07/2016 |
| Oct 28, 2024 |
| Dec 11, 2024 |
| S•••••• E••••••••• I•• | HOLDING COMPANY | D | yes | 09/2024 | Oct 28, 2024 | Dec 11, 2024 |
| W••••••••• J•••• K•••••• | MANAGING MEMBER | E | yes | 07/2016 | Oct 28, 2024 | Dec 11, 2024 |
| W••••••••• J•••• K•••••• | Ceo | Na | yes | 09/2024 | Oct 28, 2024 | Dec 11, 2024 |
| $654M |
| $650M |
| 6 |
| 6 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 1, 2025 | $308M | $297M | 3 | 3 | 0 | n/a | n/a |
| NEWTOWN, PA |
| Team lift out |
| RIA to RIA |
| 40.0% |