DFX Intelligence

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

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

R••• I••••••••• I••

CRD 111125

YORK, PA

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Search this name across graphsid dfx:ria:68175c21-1ea0-5041-1541-1bc9c73cea50

Data as of Nov 8, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Apr 3, 2012 to Nov 8, 2012
6 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: $26.1M••• Locked
Discretionary RAUM: $26.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• R••••••	CHAIRMAN, PRESIDENT	E	yes	09/1993	Apr 3, 2012	Nov 8, 2012
F•••••• M••••••• R•	CHIEF INVESTMENT OFFICER	Na	no	01/2007	Apr 3, 2012	Nov 8, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Media	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
2011	Apr 3, 2012	$26.1M	$26.1M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$26.1M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Controls (1)

← R•••• R••••••OwnerCHAIRMAN, PRESIDENT, ownership code E, individual
Apr 3, 2012 to presentfactForm ADV

Owns (2)

← F•••••• M••••••• R•OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Apr 3, 2012 to presentfactForm ADV
← R••••••••• K••••• E••••••••OwnerEX VP OF ADMIN & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Apr 3, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:68175c21-1ea0-5041-1541-1bc9c73cea50
First observed: Apr 3, 2012
Last observed: Nov 8, 2012 168 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.