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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

NATIONAL PENN CAPITAL ADVISORS

NATIONAL PENN CAPITAL ADVISORS, INC., CRD 112477

DOYLESTOWN, 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:ae9db115-4ecc-7156-a4fe-e465407b9de9

Data as of Mar 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Feb 8, 2012 to Mar 17, 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
Regulatory AUM: $1.0BItem 5.F on the latest filing (2014-03-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $333M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Accounts: 812
SEC number: 801-57306
CRD: 112477
Filings on the tape: 3
First filed: Feb 8, 2012
Latest filed: Mar 17, 2014
Organised: Corporation, Pennsylvania

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ELLSWORTH, H, ANDERSON	Secretary	Na	yes	01/2011	Feb 8, 2012	Mar 17, 2014
LANDES, ERIC, VAUGHN	President	Na	yes	02/2007	Feb 8, 2012	Mar 17, 2014
LORD, RICHARD, ARLEN	CHIEF FINANCIAL OFFICER	Na	yes	01/2013	Mar 19, 2013	Mar 17, 2014
NATIONAL PENN BANK	PARENT COMPANY	E	yes	02/2009	Feb 8, 2012	Mar 17, 2014
KLEFFEL, KAREN, L	CHIEF COMPLIANCE OFFICER	Na	no	09/2007	Feb 8, 2012	Mar 17, 2014
NATIONAL PENN BANCSHARES, INC	HOLDING COMPANY	E	no	02/2009	Feb 8, 2012	Mar 17, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
INSTITUTIONAL ADVISORS LLC	n/a	Former SEC adviser	$1.2B	N	yes	n/a
NATIONAL PENN BANK	n/a	n/a	n/a	Y	no	n/a
NATIONAL PENN INSURANCE SERVICES GROUP, INC.	n/a	n/a	n/a	N	no	n/a
NATIONAL PENN INSURANCE SERVICES GROUP, INC.	n/a	n/a	n/a	N	yes	n/a
NATIONAL PENN INSURANCE SERVICES GROUP, INC.	n/a	n/a	n/a	N	no	n/a
NATIONAL PENN WEALTH MANAGEMENT N.A.	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Souderton	Pa	United States	n/a	no
Yardley	Pa	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 17, 2014	$1.0B	$333M	7	6	n/a	n/a	n/a
2012	Mar 19, 2013	$1.0B	$146M	7	5	n/a	n/a	n/a
2011	Feb 8, 2012	$824M	$142M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$1.0B	$1.0B	-0.8%	n/a	n/a	7	7	n/a	n/a

Relationships

Affiliated with (1)

→ INSTITUTIONAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← LORD, RICHARD, ARLENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 19, 2013 to presentfactForm ADV
← LANDES, ERIC, VAUGHNOwnerPRESIDENT, ownership code NA, individual
Feb 8, 2012 to presentfactForm ADV
← ELLSWORTH, H, ANDERSONOwnerSECRETARY, ownership code NA, individual
Feb 8, 2012 to presentfactForm ADV
← NATIONAL PENN BANKOwnerPARENT COMPANY, ownership code E, domestic entity
Feb 8, 2012 to presentfactForm ADV

Owns (2)

← KLEFFEL, KAREN, LOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 8, 2012 to presentfactForm ADV
← NATIONAL PENN BANCSHARES, INCOwnerHOLDING COMPANY, ownership code E, domestic entity
Feb 8, 2012 to presentfactForm ADV

Registered with (4)

← DAVID WILLIAM GOTWALSAdvisorregistration: previous registration
May 28, 2007 to Sep 2, 2014factForm ADV
← RONALD JACK JOYCEAdvisorregistration: previous registration
Sep 17, 2008 to Sep 2, 2014factForm ADV
← ERIC VAUGHN LANDESAdvisorregistration: previous registration
Mar 31, 2000 to Sep 2, 2014factForm ADV
← PAUL JOSEPH MCCOLGANAdvisorregistration: previous registration
Sep 17, 2008 to Aug 20, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae9db115-4ecc-7156-a4fe-e465407b9de9
First observed: Feb 8, 2012
Last observed: Mar 17, 2014 152 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.

NATIONAL PENN CAPITAL ADVISORS

NATIONAL PENN CAPITAL ADVISORS, INC., CRD 112477

DOYLESTOWN, 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:ae9db115-4ecc-7156-a4fe-e465407b9de9

Data as of Mar 17, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:33 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELLSWORTH, H, ANDERSON

Secretary

yes

01/2011

Feb 8, 2012

Mar 17, 2014

LANDES, ERIC, VAUGHN

President

yes

02/2007

Feb 8, 2012

Mar 17, 2014

LORD, RICHARD, ARLEN

CHIEF FINANCIAL OFFICER

yes

01/2013

Mar 19, 2013

Mar 17, 2014

NATIONAL PENN BANK

PARENT COMPANY

yes

02/2009

Feb 8, 2012

Mar 17, 2014

KLEFFEL, KAREN, L

CHIEF COMPLIANCE OFFICER

09/2007

Feb 8, 2012

Mar 17, 2014

NATIONAL PENN BANCSHARES, INC

HOLDING COMPANY

02/2009

Feb 8, 2012

Mar 17, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INSTITUTIONAL ADVISORS LLC

n/a

Former SEC adviser

$1.2B

yes

n/a

NATIONAL PENN BANK

n/a

NATIONAL PENN INSURANCE SERVICES GROUP, INC.

n/a

NATIONAL PENN INSURANCE SERVICES GROUP, INC.

n/a

yes

n/a

NATIONAL PENN INSURANCE SERVICES GROUP, INC.

n/a

NATIONAL PENN WEALTH MANAGEMENT N.A.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Souderton

United States

n/a

Yardley

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 17, 2014

$1.0B

$333M

n/a

2012

Mar 19, 2013

$1.0B

$146M

n/a

2011

Feb 8, 2012

$824M

$142M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$1.0B

-0.8%

n/a