DFX Intelligence

S••••• C•••••• M••••••••• 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

S••••• C•••••• M••••••••• I••

CRD 104817

PITTSBURGH, PA

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Search this name across graphsid dfx:ria:84a24e6f-88a3-93cc-47e5-2633174386dd

Data as of May 26, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Nov 14, 2011 to May 26, 2021
22 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: $214M••• Locked
Discretionary RAUM: $210M
Private client RAUM: $164Mderived••• Locked
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• V•••• L•••	CHIEF COMPLIANCE OFFICER AND CO-CHIEF EXECUTIVE OFFICER	Na	yes	01/2021	Nov 14, 2011	May 26, 2021
F•••••••• F•••••••• L••	CHIEF OPERATING OFFICER AND CO-CHIEF EXECUTIVE OFFICER	Na	yes	01/2021	Nov 14, 2011	May 26, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$214M	$241M	-11.2%	$420M	-20.2%	9	9	0	0

Relationships

Controls (4)

← E••••• V•••• L•••OwnerCHIEF COMPLIANCE OFFICER AND CO-CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 14, 2011 to presentfactForm ADV
← S•••••• E•••••• L••••••OwnerCHAIRMAN AND FOUNDER, ownership code NA, individual
Nov 14, 2011 to presentfactForm ADV
← S•••••• C••••• E•••••OwnerCHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER, ownership code E, individual
Nov 14, 2011 to presentfactForm ADV
← F•••••••• F•••••••• L••OwnerCHIEF OPERATING OFFICER AND CO-CHIEF EXECUTIVE OFFICER, ownership code NA, individual

Dated events

Occurred
Jun 25, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 26, 2019
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-153M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:84a24e6f-88a3-93cc-47e5-2633174386dd
First observed: Nov 14, 2011
Last observed: May 26, 2021 64 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.