DFX Intelligence

I••••• C•••••• 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

I••••• C•••••• M••••••••• L••

CRD 162270

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:753649cb-05f9-f9ae-07af-50357bfcf6df

Data as of Sep 9, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 0
On other graphs: 1
Observed: Mar 6, 2012 to Sep 9, 2016
9 observations

Across DFX

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

Private Creditidentity

I••••• C•••••• M••••••••• L••

Private credit 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: $398M••• Locked
Discretionary RAUM: $398M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
H•••••• 2•••••• L•••	Securitized Asset Fund	$283M	Mar 26, 2015	6	Mar 6, 2012	dropped	n/a
I••••• S•••••••• A•• C•• 2•••••• L•••	Securitized Asset Fund	$129M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• A••••••• L••	Member	E	yes	03/2010	Sep 9, 2016	Sep 9, 2016
A••••• J••••• A•••••	MANAGING BOARD MEMBER	Na	yes	09/2016	Sep 9, 2016	Sep 9, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••• I••••••••• M••••••••• L••	n/a	ASSET_M••••••	$2.5B	N	yes	n/a
R••••••• R••• E•••••• I•••	n/a	Former SEC adviser	$366M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 4, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$398M	$876M	-54.6%	$1.3B	-31.9%	6	6	n/a	n/a

Relationships

Affiliated with (4)

→ R•••Registered adviserother investment adviser, control
factForm ADV
→ C•••• I••••••••• M••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ R••••••• R••• E••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← R••••••• C••••• O••••••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:753649cb-05f9-f9ae-07af-50357bfcf6df
First observed: Mar 6, 2012
Last observed: Sep 9, 2016 122 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.

Controls (24)

← J••••••••• M••••••• G••••••OwnerMEMBER OF BOARD OF M••••••S, ownership code F, individual
Sep 9, 2016 to presentfactForm ADV
← G•••••••• F••••• M••••••OwnerMEMBER OF BOARD OF M••••••S, ownership code F, individual
Sep 9, 2016 to presentfactForm ADV
← R•••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV
← A••••• J••••• A•••••OwnerMANAGING BOARD MEMBER, ownership code NA, individual
Sep 9, 2016 to presentfactForm ADV
← F•••••• A•••••• L•••••••OwnerMEMBER OF BOARD OF M••••••S, ownership code F, individual
Sep 9, 2016 to presentfactForm ADV
← H••••••• B••••• S••••••OwnerSENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← B••••• L•••••••• S•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Sep 9, 2016 to presentfactForm ADV
← C••••• J••••••• P••••••OwnerMEMBER OF BOARD OF M••••••S, ownership code F, individual
Sep 9, 2016 to presentfactForm ADV
← B••••••••• J••••••• D•••OwnerPRESIDENT AND MANAGING BOARD MEMBER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← P••••• D••••••• V•••••OwnerCHIEF COMPLIANCE OFFICER & SECRETARY, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← W•••• N•••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← E••••••• T•••••• C••••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← R••••••• S••• B•OwnerMEMBER OF BOARD OF M••••••S, ownership code F, individual
Sep 9, 2016 to presentfactForm ADV
← T•••• J••••••• S•••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 26, 2015 to presentfactForm ADV
← S•••••••• D••••• G••••OwnerVICE PRESIDENT - LEGAL & COMPLIANCE, ownership code NA, individual
Sep 9, 2016 to presentfactForm ADV
← A••••• A••••••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 9, 2016 to presentfactForm ADV
← C•••• C•••••• P••••••• L••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••• D••••••••• I• L••OwnerMANAGING MEMBER, ownership code F, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••• D••••••••• L••OwnerMANAGING MEMBER, ownership code F, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••• H••••••• I• L••OwnerMEMBER, ownership code C, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••• H••••••• L••OwnerMEMBER, ownership code C, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••• M•••••• L••OwnerM••••••, ownership code F, domestic entity
Sep 9, 2016 to presentfactForm ADV
← I••••• C•••••• G•••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 9, 2016 to presentfactForm ADV
← R••••••• A••••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV