DFX Intelligence

M•••••• 2• M••••••••• C•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

M•••••• 2• M••••••••• C•••

CRD 104566

AMBLER, PA

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Search this name across graphsid dfx:ria:aa36fb8c-67dd-4f39-0d7c-6bf5a7c2eded

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 4
On other graphs: 0
Observed: Mar 30, 2012 to Mar 9, 2026
16 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $316M••• Locked
Discretionary RAUM: $316M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• L•••••• A•••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2004	Mar 30, 2012	Mar 12, 2024
M••••••••• M•••	President	E	yes	04/1995	Mar 30, 2012	Mar 12, 2024

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
2025	$316M	$282M	12.1%	$245M	8.8%	1	1	0	0

Relationships

Affiliated with (1)

← 1••• A•••••••Registered adviserother investment adviser
factForm ADV

Controls (2)

← M••••••••• M•••OwnerPRESIDENT, ownership code E, individual
Mar 30, 2012 to Mar 12, 2024factForm ADV
← B•••• L•••••• A•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to Mar 12, 2024factForm ADV

Dated events

Occurred
Mar 19, 2025
Ria hq relocated
••• Locked
Form ADVobserved today
Occurred
Mar 20, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-131M
Occurred
Mar 16, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$118M
Occurred
Mar 22, 2020
Regulatory AUM changed

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:aa36fb8c-67dd-4f39-0d7c-6bf5a7c2eded
First observed: Mar 30, 2012
Last observed: Mar 9, 2026 6 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.