DFX Intelligence

S•••••• A•• G••• I••••••••• M••••••••• 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

S•••••• A•• G••• I••••••••• M••••••••• L••

CRD 148610

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:93485a0f-575b-c217-6af2-fb530460853a

Data as of May 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 20, 2012 to May 11, 2012
7 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: $23.6M••• Locked
Discretionary RAUM: $9.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $23.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• K•••••• G•••	n/a	WEST CHESTER, PA	17	17	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••• M••••••• K••••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	01/2009	Jan 20, 2012	May 11, 2012
S••••••• C••••••• E•••••	MANAGING MEMBER	D	yes	01/2009	Jan 20, 2012	May 11, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Apr 2, 2012	$23.6M	$9.5M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$23.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← S••••••• C••••••• E•••••OwnerMANAGING MEMBER, ownership code D, individual
Jan 20, 2012 to presentfactForm ADV
← G•••• M••••••• K••••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 20, 2012 to presentfactForm ADV

Registered with (1)

← M•••••• K•••••• G•••Advisorregistration: current employment
Feb 23, 2009 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:93485a0f-575b-c217-6af2-fb530460853a
First observed: Jan 20, 2012
Last observed: May 11, 2012 174 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.