DFX Intelligence

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

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RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

F•• A•••••••• I•••

CRD 104601

BERWYN, PA

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Search this name across graphs

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 70
Dated events: 33
On other graphs: 0
Observed: Mar 30, 2012 to Jun 30, 2026
53 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

B••• C•••••• F••• X•••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderived••• Locked
Regulatory AUM: $833M••• Locked
Discretionary RAUM: $833M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• P••••• B••••• I•••	Owner	E	yes	11/2024	Dec 9, 2024	Dec 20, 2024
B••• P••••• I••••••••• L••	Owner	E	yes	11/2024	Dec 9, 2024	Dec 20, 2024

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
E•••••••• P•••••••• S••••••••• I•••	n/a	Independent wealth	$17B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	1	no
Berwyn	Pa	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$833M	$926M	-10.1%	$3.6B	-38.7%	17	20	1	2

Relationships

Affiliated with (12)

→ E•••••••• P•••••••• S••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• P••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• R••••••••• S••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ Q•• C•••••• M••••••••• I•••Registered adviserother investment adviser, common control

Dated events

7 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
30 Jun 2026
Ria hq relocated
••• Locked
Form ADV
Occurred
30 Jun 2026
Ria principal change6 events
F•• A•••••••• I•••: ria principal change, 6 events, on 30 Jun 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
30 Jun 2026
Ria office closed
••• Locked
Form ADV
Occurred
31 Mar 2025
Regulatory AUM changed
••• Locked
Form ADV
down $1.3B
Occurred
28 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
down $1.4B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Jun 30, 2026 2 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.

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••• B••••••• T•••••	CHIEF COMPLIANCE OFFICER	Na	yes	10/2018	Oct 30, 2018	Dec 20, 2024
M•••• L••	SOLE SHAREHOLDER	E	yes	07/2008	Mar 30, 2012	Dec 20, 2024
O••••••• S•••••• S•	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY	Na	yes	01/2018	May 1, 2018	Dec 20, 2024
S•••• T•••••• M••••••	EVP, E•••••••• BUSINESS LINES	Na	yes	12/2022	Feb 3, 2023	Dec 20, 2024
T•••••• B••••••• R•••••••	CO-CHIEF INVESTMENT OFFICER/MANAGING DIR	Na	yes	01/2018	May 1, 2018	Dec 20, 2024
W•••••• J•••••• B•	CHIEF FINANCIAL OFFICER	Na	yes	01/2024	Jan 24, 2024	Dec 20, 2024
B••• C•••••• F••• X•••• L•••	Owner	C	no	11/2024	Dec 9, 2024	Dec 20, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Jan 15, 2016	$3.7B	$3.7B	90	22	n/a	n/a	n/a
2014	Feb 6, 2015	$3.7B	$3.7B	90	22	n/a	n/a	n/a
2013	Mar 25, 2014	$1.9B	$1.9B	85	16	n/a	n/a	n/a
2012	Mar 4, 2013	$515M	$34.0M	74	14	n/a	n/a	n/a
2011	Mar 30, 2012	$131M	$0	n/a	n/a	n/a	n/a	n/a