DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM over $100B

P•• A•••• M••••••••• L••

CRD 122141

HARRISBURG, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a6aeb440-20f5-ee31-1941-156518f4ce8c

Data as of Apr 8, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 13
On other graphs: 1
Observed: Jan 31, 2012 to Apr 8, 2024
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

P•• A•••• M••••••••• L••

Investment consultant · shared crd

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: $177B••• Locked
Discretionary RAUM: $176B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 244
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• R••••••• J•••	CHIEF COUNSEL & SECRETARY	Na	yes	12/2021	Dec 23, 2021	Apr 8, 2024
K•••••••• L••• J•••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2011	Jan 31, 2012	Apr 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U••• B•••••• A•••• M••••••••• I•••	n/a	Asset manager	$427B	Y	yes	n/a
U••• B•••••• I••••••••• I•••	n/a	Former SEC adviser	$23B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Philadelphia	Pa	United States	22	yes
SAN FRANCISCO	CA	United States	8	yes
Orlando	FL	United States	8	yes
SAN FRANCISCO	CA	United States	5	no
Ewing	Nj	United States

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$177B	$154B	15.0%	$121B	13.4%	244	227	22	19

Relationships

Affiliated with (3)

← U••• B•••••• A•••• M••••••••• I•••Registered adviserother investment adviser, LP sponsor, control, common control
factForm ADV
→ U••• B•••••• A•••• M••••••••• I•••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ U••• B•••••• I••••••••• I•••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (9)

Dated events

Occurred
Dec 23, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 23, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 23, 2021
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 23, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a6aeb440-20f5-ee31-1941-156518f4ce8c
First observed: Jan 31, 2012
Last observed: Apr 8, 2024 29 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.