DFX Intelligence

B•••••• C•••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

B•••••• C•••••• I••

CRD 111743

BERWYN, PA

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Data as of Jun 30, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 74
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2011 to Jun 30, 2020
34 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: $25B••• Locked
Discretionary RAUM: $15B
Private client RAUM: $22Bderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 168

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• C•••••• H•••••••• I•••	OWNER OF APPLICANT	E	yes	10/1995	Nov 8, 2011	Jun 30, 2020
W•••••• I••••• C••••••	Stockholder	D	yes	01/2000	Nov 8, 2011	Jun 30, 2020

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

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	$25B	$21B	21.9%	$18B	11.5%	168	160	0	1

Relationships

Controls (2)

← W•••••• I••••• C••••••OwnerSTOCKHOLDER, ownership code D, individual
Nov 8, 2011 to presentfactForm ADV
← B•••••• C•••••• H•••••••• I•••OwnerOWNER OF APPLICANT, ownership code E, domestic entity
Nov 8, 2011 to presentfactForm ADV

Owns (3)

← F••••• B••••• M••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 8, 2011 to presentfactForm ADV
← B•••••• N•••••• D••••OwnerCHIEF EXECUTIVE OFFICER, ownership code A, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 8, 2011
Last observed: Jun 30, 2020 75 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.