DFX Intelligence

C•••••• P••••••• A••••••• 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

C•••••• P••••••• A••••••• G•••• I••

CRD 105865

YARDLEY, PA

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Data as of Mar 15, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 21, 2011 to Mar 15, 2014
4 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: $120M••• Locked
Discretionary RAUM: $115M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• G•••••• N•••••••	PRESIDENT, CEO, CCO, CFO	E	yes	01/1988	Nov 21, 2011	Mar 15, 2014

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 15, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$120M	$105M	14.3%	n/a	n/a	2	2	n/a	n/a

Relationships

Controls (1)

← L••••••• G•••••• N•••••••OwnerPRESIDENT, CEO, CCO, CFO, ownership code E, individual
Nov 21, 2011 to presentfactForm ADV

Registered with (1)

← M•••••• R••••• M••••••••Advisorregistration: previous registration
Feb 3, 2003 to Nov 30, 2009factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 21, 2011
Last observed: Mar 15, 2014 152 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.