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R••••••• R••• E••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

R••••••• R••• E••••• L••

CRD 157365

NEW YORK, NY

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Data as of Sep 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 12
On other graphs: 0
Observed: Mar 1, 2012 to Sep 29, 2020
20 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: $366M••• Locked
Discretionary RAUM: $366M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 79
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R••••••• R••• E••••• F•••••• C•• 2•••••• L•••	Securitized Asset Fund	$415M	Dec 12, 2013	20	Mar 1, 2012	dropped	n/a
R••••••• R••• E••••• F•••••• C•• 2•••••• L•••	Securitized Asset Fund	$274M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• A••••••• L••	Member	E	yes	03/2010	Sep 9, 2016	Sep 29, 2020
A••••• J••••• A•••••	MEMBER OF BOARD OF M••••••S	F	yes	01/2019	Mar 29, 2018	Sep 29, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• I••••••••• M••••••••• L••	n/a	Asset manager	$2.5B	N	yes	n/a
I••••• I••••••••• M••••••••• L••	n/a	Asset manager	$1.7B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Philadelphia	Pa	United States	2	yes
NEW YORK	NY	United States	1	no
Greenville	Sc	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$366M	$274M	33.5%	$161M	31.5%	79	113	3	5

Relationships

Affiliated with (6)

→ C•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ R••••••• A••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ I••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← R••••••• A••••••••• A••••••• L••Registered adviser

Dated events

Order

Occurred
29 Sep 2020
Control person left5 events
R••••••• R••• E••••• L••: control person left, 5 events, on 29 Sep 2020
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
12 Mar 2019
Control person left5 events
R••••••• R••• E••••• L••: control person left, 5 events, on 12 Mar 2019
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
2 Jan 2019
Control person left
••• Locked
Form ADV
Occurred
5 Feb 2018
Succession filed (Item 4)
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 1, 2012
Last observed: Sep 29, 2020 72 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.

All 28 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••• P•••• A•••••	EXECUTIVE VICE PRESIDENT; MEMBER BOARD OF M••••••S	Na	yes	09/2016	Sep 9, 2016	Sep 29, 2020
I••••• C•••• D••••••••• I• L••	MANAGING MEMBER	F	yes	05/2010	Sep 9, 2016	Sep 29, 2020
I••••• C•••• D••••••••• L••	MANAGING MEMBER	F	yes	11/2009	Sep 9, 2016	Sep 29, 2020
I••••• C•••• H••••••• I• L••	Member	C	yes	05/2010	Sep 9, 2016	Sep 29, 2020
I••••• C•••• H••••••• L••	Member	C	yes	02/2010	Mar 29, 2018	Sep 29, 2020
I••••• C•••• M•••••• L••	M••••••	F	yes	02/2010	Sep 9, 2016	Sep 29, 2020
I••••• C•••••• G•••• L••	Member	E	yes	03/2010	Sep 9, 2016	Sep 29, 2020
I••••• C•••••• G•••• L••	Member	E	yes	05/2010	Sep 9, 2016	Sep 29, 2020
I••••• C•••••• G•••• L••	Member	E	yes	10/2009	Sep 9, 2016	Sep 29, 2020
J••••••••• M••••••• G••••••	MEMBER OF BOARD OF M••••••S	F	yes	05/2012	Sep 9, 2016	Sep 29, 2020
L•••• M•••	EXECUTIVE VICE PRESIDENT	Na	yes	09/2016	Feb 17, 2017	Sep 29, 2020
L•••••• R•••••• C••••	EXECUTIVE VICE PRESIDENT	Na	yes	09/2016	Sep 9, 2016	Sep 29, 2020
R••••••• S•••••• J•••••	MEMBER OF BOARD OF M••••••S	F	yes	02/2010	Sep 9, 2016	Sep 29, 2020
R••••••• A••••••• I•••	SOLE MEMBER	E	yes	02/2003	Mar 1, 2012	Sep 29, 2020
R••••••• R••• E••••• H•••••••• L••	SOLE MEMBER	E	yes	05/2004	Mar 1, 2018	Sep 29, 2020
S••••• M••••••• J••	EXECUTIVE VICE PRESIDENT	Na	yes	09/2016	Sep 9, 2016	Sep 29, 2020
W•••••••• G•••••••• H•••••••	EXECUTIVE VICE PRESIDENT	Na	yes	09/2016	Feb 17, 2017	Sep 29, 2020
G•••• M••••••••• F•••••	VICE PRESIDENT-COMPLIANCE AND ASSISTANT SECRETARY	Na	no	03/2018	Mar 29, 2018	Sep 29, 2020

All 20 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• R• D••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
C•••• R•• D••••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•••• S• M••••••••• L••	n/a	n/a	n/a	N	yes	n/a
I•• R••••• L••	n/a	n/a	n/a	N	yes	n/a
I••••• C•••••• G•••• L••	n/a	n/a	n/a	Y	no	n/a
I••••• D••••••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
J•• I•••••••• T•••• I•••	n/a	n/a	n/a	Y	no	n/a
N•• A•••••• N•••••• I•••	n/a	n/a	n/a	N	yes	n/a
R••••••• S••••••••• L••	n/a	n/a	n/a	N	yes	n/a
R••• N•• C••••••••• G• L••	n/a	n/a	n/a	N	yes	n/a