DFX Intelligence

P••••••••• W••••• M••••••••• 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

P••••••••• W••••• M••••••••• L••

CRD 152072

YORK, PA

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Search this name across graphsid dfx:ria:5df38150-e2ac-5658-a223-a4a75eb6dc34

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 31, 2014
3 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: $768M••• Locked
Discretionary RAUM: $761M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• S••••• D••••••	CHIEF OPERATIONS OFFICER	Na	yes	10/2009	Mar 30, 2012	Mar 31, 2014
P••••••••• H••••••• L••	MANAGING MEMBER	E	yes	10/2009	Mar 30, 2012	Mar 31, 2014

Affiliates (Item 7.A)

••• Locked

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

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
CHERRY HILL	Nj	United States	n/a	no
Hanover	Pa	United States	n/a	no
Lancaster	Pa	United States	n/a	no
Wyomissing	Pa	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$768M	$669M	14.7%	n/a	n/a	26	23	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D••••• W•••••• L••	11	Feb 23, 2015	Feb 23, 2015	YORK, PA	Firm absorbed	Other	100.0%

Relationships

Controls (4)

← R•••• M•••••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← M••••••• S••••• D••••••OwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← W•••••••• T•••••• K••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← P••••••••• H••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 30, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5df38150-e2ac-5658-a223-a4a75eb6dc34
First observed: Mar 30, 2012
Last observed: Mar 31, 2014 151 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.