DFX Intelligence

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

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

I•• F•••••••• G•••• I••

CRD 107356

LANCASTER, PA

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Search this name across graphsid dfx:ria:6a346620-0c4f-faf0-1405-b545ae6eda99

Data as of Apr 1, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Apr 1, 2022
35 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: $722M••• Locked
Discretionary RAUM: $722M
Private client RAUM: $666Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• T••••••• J••	PRESIDENT, SECRETARY, TREASURER, VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	05/1992	Mar 30, 2012	Apr 1, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$722M	$610M	18.3%	$441M	17.8%	5	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••••• A•••••••• L••	2	Sep 15, 2022	Sep 19, 2022	LANCASTER, PA	Team lift out	Other	100.0%

Relationships

Controls (1)

← D•••••• T••••••• J••OwnerPRESIDENT, SECRETARY, TREASURER, VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Moved with (1)

→ G••••••••• A•••••••• L••Registered adviser2 advisors, team lift out, same day
Sep 15, 2022 to Sep 19, 2022factForm ADV

Registered with (2)

← T•••••• J•• D•••••Advisorregistration: previous registration
Oct 28, 1996 to Sep 15, 2022factForm ADV

Dated events

Occurred
Sep 15, 2022
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Sep 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 15, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6a346620-0c4f-faf0-1405-b545ae6eda99
First observed: Mar 30, 2012
Last observed: Apr 1, 2022 54 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.