DFX Intelligence

M••• L••• F•••••••• A•••••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M••• L••• F•••••••• A•••••••• L•••

CRD 121583

MALVERN, PA

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Search this name across graphsid dfx:ria:64b6823d-7437-185e-31af-f498d4c9dcd7

Data as of Mar 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:48 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 28, 2012 to Mar 12, 2018
11 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: $10.5M••• Locked
Discretionary RAUM: $10.5M
Private client RAUM: $10.5Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• A•••••• F••••••	MANAGING PARTNER	E	yes	01/1996	Jan 28, 2012	Mar 12, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• L••• R••••••••• A•••••••• L••	n/a	Independent wealth	$449M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$10.5M	$281M	-96.3%	$246M	-65.1%	1	6	0	n/a

Relationships

Affiliated with (1)

→ M••• L••• R••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← M••••••••• A•••••• F••••••OwnerMANAGING PARTNER, ownership code E, individual
Jan 28, 2012 to presentfactForm ADV

Registered with (4)

← A••••• F•••••• M••••••••Advisorregistration: previous registration
Sep 21, 1998 to Dec 31, 2018factForm ADV

Dated events

Occurred
Mar 12, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-271M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64b6823d-7437-185e-31af-f498d4c9dcd7
First observed: Jan 28, 2012
Last observed: Mar 12, 2018 103 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.