DFX Intelligence

D••••••• I••••••••• A••••••• S•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

D••••••• I••••••••• A••••••• S•••••••

CRD 170659

PHILADELPHIA, PA

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Search this name across graphs

Data as of Jun 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 1
On other graphs: 0
Observed: Mar 7, 2014 to Jun 30, 2014
3 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 0
SEC number: 801-79364
CRD: 170659
Filings on the tape: 3
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• P••••••• P•••	PRESIDENT/DIRECTOR	Na	yes	02/2014	Mar 7, 2014	Jun 30, 2014
D••••••• I••••••••• F••• A•••••••• A• S••••• O• D••••••• M••••••••• B••••••• T••••	CORPORATE PARENT OF REGISTRANT	E	yes	02/2014	Mar 13, 2014	Jun 30, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••••• M••••••••• B••••••• T••••	n/a	Asset manager	$144B	Y	yes	n/a
F••• C•••••• C•••••• M••••••••• L••	n/a	Former SEC adviser	$34.5M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jun 30, 2014	n/a	n/a	4	0	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	n/a	n/a	n/a	n/a	n/a	4	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ N••••• I••••••••• M••••••••• B••••••• T••••Registered adviserother investment adviser, control, common control
factForm ADV
→ F••• C•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ D••••••• C•••••• M••••••••• A•••••••• I••Registered adviserother investment adviser, common control
factForm ADV

Controls (15)

← C••••• P••••••• P•••

Dated events

Order

Occurred
7 Mar 2014
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 7, 2014
Last observed: Jun 30, 2014 148 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.

All 17 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• F•••••••• H••••••• •••• L••	Parent	E	yes	02/2014	Mar 7, 2014	Jun 30, 2014
M•••••••• F•••••• H••••••• I•••	Parent	E	yes	02/2014	Mar 7, 2014	Jun 30, 2014
M•••••••• G•••• L••••••	Parent	E	yes	02/2014	Mar 7, 2014	Jun 30, 2014
M•••••••• S•••••• •••• P•••••••	Parent	E	yes	02/2014	Mar 7, 2014	Jun 30, 2014
M•••••• B••••• L•••••••	SVP/CHIEF COMPLIANCE OFFICER	Na	yes	02/2014	Mar 7, 2014	Jun 30, 2014
O••••••• D••••	CHIEF LEGAL OFFICER/DIRECTOR	Na	yes	02/2014	Mar 7, 2014	Jun 30, 2014
R••••• P•••••• N•••••••	EVP/CHIEF ADMINISTRATIVE OFICER	Na	yes	02/2014	Mar 7, 2014	Jun 30, 2014