DFX Intelligence

S••••••• R••• A•••• 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

S••••••• R••• A•••• M••••••••• L••

CRD 150516

BRYN MAWR, PA

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Search this name across graphsid dfx:ria:72c47797-1565-c59d-34c0-008ba32efb91

Data as of Feb 1, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 22
On other graphs: 1
Observed: Nov 18, 2014 to Feb 1, 2024
40 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S••••••• R••• A•••• M••••••••• L••

Private equity manager · shared crd

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: $455M••• Locked
Discretionary RAUM: $411M
Private client RAUM: $149Mderived••• Locked
Private client share: 33%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 44

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••••• E••••• F•••• L•	Hedge Fund	$40.1M	Mar 31, 2022	55	Mar 29, 2019	dropped	021-128620
V••••• E••••• F•••• L••	Hedge Fund	$33.4M	Feb 1, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• A•••••• A•••••••	ELECTED MANAGER	C	yes	06/2020	Mar 23, 2018	Feb 1, 2024
S••••• A•••••• A•••••••	CHAIRMAN AND INTERIM CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2022	Mar 23, 2018	Feb 1, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• C•••••• M••••••••• C••••••• L••	n/a	Other adviser	$1.9B	Y	yes	n/a
G••••••• I••••••••• L••	n/a	Former SEC adviser	$329M	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Darien	Ct	United States	6	no
NEW YORK	NY	United States	5	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$455M	$483M	-5.8%	$691M	-13.0%	44	25	2	1

Relationships

Affiliated with (7)

← G••••••• I••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ P••• C•••••• M••••••••• C••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ G••••••• I••••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ S•••••• A•••• M••••••••• L••Registered adviserother investment adviser, control, common control

Dated events

Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72c47797-1565-c59d-34c0-008ba32efb91
First observed: Nov 18, 2014
Last observed: Feb 1, 2024 32 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.