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E•• I••••••••• G•••• 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

E•• I••••••••• G•••• I••

CRD 105893

YORK, PA

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Search this name across graphsid dfx:ria:880b2498-3656-ba69-a8ac-4c83fcc700b0

Data as of Mar 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Mar 29, 2016
10 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: $428MItem 5.F on the latest filing (2016-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $413M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• F•••••••• L••	OWNER / SHAREHOLDER - CLASS A & CLASS B	E	yes	04/2011	May 13, 2013	Mar 29, 2016
C•••••• B••••••• E•••••	CHIEF FINANCIAL OFFICER	Na	yes	05/2010	May 14, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••• T•••• C••••••	n/a	n/a	n/a	N	yes	Pa

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Hanover	Pa	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$428M	$523M	-18.1%	$466M	-2.8%	7	7	n/a	n/a

Relationships

Controls (5)

← C•••••• E•••••• S••••••OwnerSHAREHOLDER - CLASS A & CLASS B, ownership code D, individual
Mar 12, 2012 to presentfactForm ADV
← S••••• B••••• D••••OwnerSHAREHOLDER - CLASS B, ownership code C, individual
Mar 12, 2012 to presentfactForm ADV
← C•••••• B••••••• E•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
May 14, 2013 to presentfactForm ADV
← S•••••• B•••••• M••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:880b2498-3656-ba69-a8ac-4c83fcc700b0
First observed: Mar 12, 2012
Last observed: Mar 29, 2016 127 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.