DFX Intelligence

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

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

I••••••••• A•••••••• L••

CRD 153687

WAYNE, PA

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Search this name across graphsid dfx:ria:8556adb9-0f9f-f2a9-13f5-9eeb88ab18f6

Data as of Jul 1, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 3
On other graphs: 1
Observed: Mar 27, 2012 to Jul 1, 2020
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

I••••••••• A•••••••• L••

Investment consultant · shared crd

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: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.2Bderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• C••••••• P•••••	MANAGING MEMBER, PRESIDENT	E	yes	03/2010	Mar 27, 2012	Jul 1, 2020
Y••••• L•••••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2019	Jan 3, 2019	Jul 1, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.3B	$923M	43.3%	$859M	15.5%	13	10	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• W••••• M••••••••• L••	10	Jan 4, 2021	Jan 5, 2021	WAYNE, PA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (2)

← B••••••• C••••••• P•••••OwnerMANAGING MEMBER, PRESIDENT, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← Y••••• L•••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 3, 2019 to presentfactForm ADV

Moved with (1)

→ M••••• W••••• M••••••••• L••Registered adviser10 advisors, firm absorbed, same day
Jan 4, 2021 to Jan 5, 2021factForm ADV

Registered with (11)

Dated events

Occurred
Feb 20, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$400M
Occurred
Jan 3, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jan 3, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8556adb9-0f9f-f2a9-13f5-9eeb88ab18f6
First observed: Mar 27, 2012
Last observed: Jul 1, 2020 75 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.