DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

H••••••• P•••••••• L••

CRD 298729

BERWYN, PA

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Search this name across graphsid dfx:ria:914e586f-2675-1577-2651-7275a72dd9fd

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 7
On other graphs: 1
Observed: Aug 29, 2018 to Mar 26, 2024
23 observations

Across DFX

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

Allocatorsidentity

H••••••• P•••••••• L••

Investment consultant · key crd, 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: $354M••• Locked
Discretionary RAUM: $344M
Private client RAUM: $331Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J••••••• A••••	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	D	yes	01/2019	May 1, 2019	Mar 26, 2024
S•••••• V•••••• R•••	MANAGING MEMBER	D	yes	08/2018	Aug 29, 2018	Mar 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 26, 2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$354M	$288M	23.1%	$210M	19.0%	4	3	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•• C•••••• M••••••••• L••	3	Oct 28, 2024	Nov 4, 2024	BERWYN, PA	Firm absorbed	RIA to RIA	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• W••••• M••••••••• G••••• L••	2	Nov 30, 2018	Oct 23, 2018	MEDFORD, NJ	Team lift out	RIA to new firm	40.0%

Relationships

Controls (2)

← S•••••• V•••••• R•••OwnerMANAGING MEMBER, ownership code D, individual
Aug 29, 2018 to presentfactForm ADV
← L••••• J••••••• A••••OwnerMANAGING MEMBER / CHIEF COMPLIANCE OFFICER, ownership code D, individual
May 1, 2019 to presentfactForm ADV

Moved with (2)

→ M•• C•••••• M••••••••• L••Registered adviser3 advisors, firm absorbed, same day
Oct 28, 2024 to Nov 4, 2024factForm ADV
← R•••••• W••••• M••••••••• G••••• L••

Dated events

Occurred
Oct 28, 2024
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
3 advisors
Occurred
Oct 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 28, 2024
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:914e586f-2675-1577-2651-7275a72dd9fd
First observed: Aug 29, 2018
Last observed: Mar 26, 2024 30 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.