DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

A•••• E••• A••••••• L••

CRD 172736

PHILADELPHIA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 5
On other graphs: 0
Observed: Nov 14, 2014 to Mar 27, 2024
26 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: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 212
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• H••••••• L••••••	Shareholder	E	yes	04/2018	Dec 5, 2022	Mar 27, 2024
A•••• I•••	Shareholder	E	yes	04/2018	Apr 27, 2018	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••• I••••••••• L••••••	n/a	Asset manager	$207B	N	yes	n/a
A•••• I•••	n/a	Other adviser	$41B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.0B	$1.2B	-11.5%	$349M	43.9%	212	266	0	0

Relationships

Affiliated with (5)

→ A•••• I•••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ A•••• A••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ P••••• C•••••• P••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ A•••• A••••••••• F•••• L••••••Registered adviser

Dated events

Occurred
Mar 10, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$437M
Occurred
Mar 10, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 2, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$389M
Occurred
Mar 17, 2021
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 14, 2014
Last observed: Mar 27, 2024 30 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.