DFX Intelligence

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

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

Q• A••••••••

CRD 153019

W. CONSHOHOCKEN, PA

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Data as of Nov 8, 2011 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Nov 8, 2011
1 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: $2.6M••• Locked
Discretionary RAUM: $2.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 2
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• A••••••••• L••	MANAGING MEMBER	D	yes	01/2010	Nov 8, 2011	Nov 8, 2011
G••••• C••••••••• C••••••	MANAGING MEMBER	E	yes	01/2010	Nov 8, 2011	Nov 8, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••••••• A••••••••• L••	n/a	Mixed wealth	$679M	Y	yes	n/a
G•••• L••	n/a	Independent wealth	$33.6M	Y	yes	n/a

Relationships

Affiliated with (3)

→ G•••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ F•••••••• A••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ A••••••• Q••••••••• C•••••••••Registered adviserother investment adviser, control
factForm ADV

Controls (3)

← G••••• C••••••••• C••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 8, 2011
Last observed: Nov 8, 2011 181 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.