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

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

A••• W••••• S••••••• I••

CRD 104577

STATE COLLEGE, PA

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Search this name across graphsid dfx:ria:605ec288-d018-3d79-a7c7-832c533421f6

Data as of Jul 8, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 0
On other graphs: 0
Observed: Dec 20, 2011 to Jul 8, 2015
24 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: $1.7BItem 5.F on the latest filing (2015-07-08); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.7B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
A••••• T••• F•••	DIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY	Na	yes	01/2015	Jan 15, 2015	Jul 8, 2015
A•••• L•••••• H•••••••• L•• •••••••	Shareholder	E	yes	01/2015	Jan 15, 2015

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

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
2014	$1.7B	$1.4B	20.5%	$1.0B	17.6%	48	50	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• I•••	3	Oct 1, 2015	Nov 11, 2015	STATE COLLEGE, PA	Firm absorbed	Other	100.0%
I••••••••• R••••••• P•••••••	2	Jan 2, 2015

Relationships

Controls (12)

← M••••• R••••••• C••••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← B••••••••• J•••• S••••••••OwnerDIRECTOR, PRESIDENT, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← B•••• C••••••• T••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← A••••• T••• F•••OwnerDIRECTOR, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY, ownership code NA, individual
Jan 15, 2015 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:605ec288-d018-3d79-a7c7-832c533421f6
First observed: Dec 20, 2011
Last observed: Jul 8, 2015 136 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.