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CRD 133311
MALVERN, 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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••• G•••••••• J••• | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | D | yes | 03/2009 | Mar 30, 2012 | Dec 11, 2012 |
| R•••••• D••••• J•••• | MANAGING DIRECTOR | A | yes | 10/2005 | Mar 30, 2012 | Dec 11, 2012 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 30, 2012 | $23.2M | $23.2M | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $23.2M | n/a | n/a | n/a | n/a | 3 | n/a | n/a | n/a |
| SHAREHOLDER TBE |
| D |
| no |
| 09/2010 |
| Mar 30, 2012 |
| Dec 11, 2012 |
| E••••••• R••••• M• | SHAREHOLDER TBE | D | no | 12/2008 | Mar 30, 2012 | Dec 11, 2012 |
| E•••••••• C•••••• M••••••••• L•• | DIRECT OWNER | B | no | 03/2009 | Mar 30, 2012 | Dec 11, 2012 |
| S••••• W••••••• D• | CHIEF FINANCIAL OFFICER | Na | no | 01/2005 | Mar 30, 2012 | Dec 11, 2012 |