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CRD 157669
BERWYN, PA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DAVID YU-WEN SUN | Chartered Financial Analyst | BERWYN, PA | 14 | 38 | 1 | no |
| MICHAEL ALLEN NEWMAN | Chartered Financial Consultant | BERWYN, PA | 14 | 35 | 1 | no |
| DANIEL JOSEPH KELLEY | n/a | BERWYN, PA | 14 | 32 | 1 | no |
| EVAN AVGERINOS | n/a | BERWYN, PA | 14 | 32 | 1 | no |
| WOODWARD TOWN ODIORNE | Chartered Financial Consultant | BERWYN, PA | 14 | 45 | 2 | no |
| JONATHAN D SMITH | Certified Financial Planner | BERWYN, PA | 14 | 21 | 1 | no |
| ROBIN SUN | n/a | BERWYN, PA | WESTMINSTER, CA | 13 | 14 | n/a | no |
| ROSS BRIAN MULDOON | Certified Financial Planner | BERWYN, PA | 13 | 19 | 1 | no |
| SAMUEL MARCELINO CARPIN | n/a | BERWYN, PA | 13 | 25 | 1 | no |
| JENNIFER ANN GARRETT | Chartered Financial Analyst | BERWYN, PA | 13 | 33 | 2 | no |
| DEREK ALLEN LEMKE | Certified Financial Planner | BERWYN, PA | 11 | 24 | 1 | no |
| ROBERT FREDERICK HABIG | n/a | LANCASTER, PA | BERWYN, PA | 11 | 35 | 1 | no |
| anthony michael civitello | n/a | BERWYN, PA | 9 | 10 | n/a | no |
| Nicholas Woo-Hsiung Sun | n/a | BERWYN, PA | 8 | 13 | n/a | no |
| CHRISTIAN GRUDE | Chartered Financial Consultant | BERWYN, PA | 7 | 38 | 2 | no |
| ANDREW DONALD SCHAFFER | Certified Financial Planner | BERWYN, PA | 5 | 11 | 1 | no |
| JOSEPH MCGINLEY | n/a | BERWYN, PA | San Jose, CA | 1 | 35 | 3 | no |
| Alexis Rose Barnhart | n/a | BERWYN, PA | 1 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| SUN, DAVID, YU-WEN | PRESIDENT & CIO | E | yes | 01/2009 | Mar 12, 2026 | Mar 12, 2026 |
| Sun, Nicholas, Woo-Hsiung | CHIEF COMPLIANCE OFFICER/PORTFOLIO STRATEGIST MANAGEMENT OPERATIONS | Na | yes | 03/2023 | Mar 12, 2026 | Mar 12, 2026 |
| civitello, anthony, michael | DIRECTOR OF PORTFOLIO MANAGEMENT OPERATIONS | Na | yes | 09/2023 | Mar 23, 2024 | Mar 23, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lancaster | Pa | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 12, 2026 | $987M | $927M | 23 | 18 | 1 | n/a | n/a |
| 2024 | Apr 11, 2025 | $917M | $861M | 23 | 17 | 1 | n/a | n/a |
| 2023 | Mar 23, 2024 | $801M | $752M | 23 | 18 | 1 | n/a | n/a |
| 2022 | Mar 21, 2023 | $694M | $646M | 23 | 18 | 1 | n/a | n/a |
| 2021 | Mar 26, 2022 | $786M | $726M | 22 | 18 | 1 | n/a | n/a |
| 2020 | Mar 21, 2021 | $652M | $603M | 21 | 17 | 1 | n/a | n/a |
| 2019 | Mar 11, 2020 | $584M | $544M | 21 | 17 | 1 | n/a | n/a |
| 2018 | Mar 20, 2019 | $471M | $439M | 22 | 17 | 1 | n/a | n/a |
| 2017 | Mar 9, 2018 | $476M | $446M | 28 | 16 | 1 | n/a | n/a |
| 2016 | Mar 10, 2017 | $391M | $366M | 24 | 16 | n/a | n/a | n/a |
| 2015 | Mar 4, 2016 | $342M | $314M | 22 | 15 | n/a | n/a | n/a |
| 2014 | Feb 24, 2015 | $302M | $279M | 18 | 14 | n/a | n/a | n/a |
| 2013 | Mar 5, 2014 | $317M | $261M | 18 | 14 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $188M | $175M | 18 | 14 | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $987M | $917M | 7.6% | $694M | 12.4% | 23 | 23 | 1 | 1 |