DFX Intelligence

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

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

A••••••••• C•••••• P•••••••• L••

CRD 159444

BLUE BELL, PA

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Search this name across graphsid dfx:ria:7f3a4ba4-e4ac-9be9-931c-9d5f069c7d89

Data as of Mar 29, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 0
On other graphs: 0
Observed: Dec 15, 2011 to Mar 29, 2017
19 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: $10.1M••• Locked
Discretionary RAUM: $10.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• K•••• G•••••	EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER	B	yes	08/2011	Dec 15, 2011	Mar 29, 2017
E••••••••• I•••	Member	B	yes	04/2015	Apr 10, 2015	Mar 29, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••••• A•••• M••••••••• I•••	n/a	Independent wealth	$615B	N	yes	n/a
P•••••••• C•••••• M••••••••• L•	n/a	Former SEC adviser	$263M	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Waltham	Ma	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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
2016	$10.1M	$6.2M	63.4%	$10.8M	-2.2%	4	6	n/a	n/a

Relationships

Affiliated with (4)

← PORTFOLIO MANAGEMENT CONSULTANTS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ P•••••••• C•••••• M••••••••• L•Registered adviserother investment adviser, pooled vehicle sponsor, control
factForm ADV
→ E•••••••• PMCRegistered adviserother investment adviser, common control
factForm ADV
← UPSIDE FINANCIAL, LLCRegistered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7f3a4ba4-e4ac-9be9-931c-9d5f069c7d89
First observed: Dec 15, 2011
Last observed: Mar 29, 2017 115 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.