DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

THE SWARTHMORE GROUP, INC.

CRD 107056

PHILADELPHIA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5215d803-a62d-7401-4856-c12e6f630ffe

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 28, 2012 to Mar 29, 2022
18 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: $1.5BItem 5.F on the latest filing (2022-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.5B
Private client RAUM: $3.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 45
Individual clients: 0
High net worth clients: 4
SEC number: 801-58069
CRD: 107056
Filings on the tape: 18
First filed: Mar 28, 2012
Latest filed: Mar 29, 2022
Organised: Corporation, Delaware

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
THE RORKE GLOBAL FUND PLC	Hedge Fund	$105,845	Mar 28, 2013	1	Mar 28, 2012	dropped	n/a

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
CARUSO, DENISE, M	CHIEF COMPLIANCE OFFICER	Na	yes	11/2018	Dec 27, 2018	Mar 29, 2022
NEVELS, JAMES, EDWIN	CHAIRMAN OF THE BOARD	D	yes	01/1992	Mar 28, 2012	Mar 29, 2022

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 29, 2022	$1.5B	$1.5B	10	4	0	n/a	n/a
2020	Mar 26, 2021	$1.5B	$1.5B	10	4	2	n/a	n/a
2019	Mar 28, 2020	$1.4B	$1.4B	12	4	0	n/a	n/a
2018	Mar 27, 2019	$1.4B	$1.4B	11	5	0	n/a	n/a
2017	Mar 27, 2018	$1.8B	$1.8B	12	6	0	n/a	n/a
2016	Mar 29, 2017	$1.9B	$1.9B	12	6	n/a	n/a	n/a
2015	Mar 18, 2016	$2.0B	$2.0B	14	7	n/a	n/a	n/a
2014	Mar 12, 2015	$2.2B	$2.2B	12	10	n/a	n/a	n/a
2013	Mar 18, 2014	$1.8B	$1.8B	14	12	n/a	n/a	n/a
2012	Mar 28, 2013	$1.5B	$1.5B	13	11	n/a	1	$105,845
2011	Mar 28, 2012	$1.3B	$1.3B	n/a	n/a	n/a	1	$2.1M

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
2021	$1.5B	$1.5B	-2.1%	$1.4B	1.6%	10	10	0	2

Relationships

Controls (2)

← NEVELS, JAMES, EDWINOwnerCHAIRMAN OF THE BOARD, ownership code D, individual
Mar 28, 2012 to presentfactForm ADV
← CARUSO, DENISE, MOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 27, 2018 to presentfactForm ADV

Registered with (1)

← JOHN BOLTON DELANEYAdvisorregistration: previous registration
Sep 26, 2018 to Dec 31, 2022factForm ADV

Advises (1)

→ THE RORKE GLOBAL FUND PLCPrivate fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Mar 28, 2013factForm ADV

Dated events

Occurred
Dec 31, 2022
Advisor changed firm
John Bolton Delaney left The Swarthmore Group, Inc. for Birch Run Investments, Llc (registered 2023-03-08)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2020
Control person left
Anthony Mark Rogozinski (Ceo) no longer on Schedule A of The Swarthmore Group, Inc. (listed 2019-03-27, absent 2020-03-28)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5215d803-a62d-7401-4856-c12e6f630ffe
First observed: Mar 28, 2012
Last observed: Mar 29, 2022 54 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.

THE SWARTHMORE GROUP, INC.

CRD 107056

PHILADELPHIA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5215d803-a62d-7401-4856-c12e6f630ffe

Data as of Mar 29, 2022 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:19 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

THE RORKE GLOBAL FUND PLC

Hedge Fund

$105,845

Mar 28, 2013

Mar 28, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARUSO, DENISE, M

CHIEF COMPLIANCE OFFICER

yes

11/2018

Dec 27, 2018

Mar 29, 2022

NEVELS, JAMES, EDWIN

CHAIRMAN OF THE BOARD

yes

01/1992

Mar 28, 2012

Mar 29, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 29, 2022

$1.5B

n/a

2020

Mar 26, 2021

$1.5B

n/a

2019

Mar 28, 2020

$1.4B

n/a

2018

Mar 27, 2019

$1.4B

n/a

2017

Mar 27, 2018

$1.8B

n/a

2016

Mar 29, 2017

$1.9B

n/a

2015

Mar 18, 2016

$2.0B

n/a

2014

Mar 12, 2015

$2.2B

n/a

2013

Mar 18, 2014

$1.8B

n/a

2012

Mar 28, 2013

$1.5B

n/a

$105,845

2011

Mar 28, 2012

$1.3B

n/a

$2.1M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$1.5B

-2.1%

$1.4B

1.6%