DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F• E••••• A••••••• L••

CRD 282897

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:93248794-ab46-8ed1-84ad-67510dd900c3

Data as of May 21, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 3
On other graphs: 0
Observed: Feb 25, 2016 to May 21, 2020
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: $46.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 98
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• D••••• J•	Member	D	yes	05/2007	Feb 25, 2016	May 21, 2020
A••••••• D••••• J••••	MANAGING MEMBER OF THE GENERAL PARTNER	C	yes	03/2007	Feb 25, 2016	May 21, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••• A••••••• L••	n/a	ASSET_M••••••	$16B	N	yes	n/a
F• R••• E••••• A••••••• L••	n/a	ASSET_M••••••	$9.1B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 26, 2020

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	$46.0M	$49.0M	-6.1%	$100,000	672.0%	98	68	0	0

Relationships

Affiliated with (19)

→ F• G••••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ C••••• I••••••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F• F••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F• C••••• I••••• A••••••• L••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
May 21, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 26, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 25, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93248794-ab46-8ed1-84ad-67510dd900c3
First observed: Feb 25, 2016
Last observed: May 21, 2020 77 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.