DFX Intelligence

W•••••• F•••••••• A••••••• G•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W•••••• F•••••••• A••••••• G•••• L••

CRD 105989

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:b096f4fd-0636-14cc-f681-b7f85038c249

Data as of Apr 21, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 56
Dated events: 17
On other graphs: 2
Observed: Mar 27, 2012 to Apr 21, 2026
35 observations

Across DFX

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

Private Equityidentity

W•••••• F•••••••• A••••••• G•••• L••

Private equity manager · key crd, key sfn adviser, shared crd

Family Officesidentity

W•••••• F•••••••• A••••••• G•••• L••

Family office · key crd, key sfn adviser, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.72 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.2B••• Locked
Discretionary RAUM: $3.2B
Private client RAUM: $3.0Bderived••• Locked
Private client share: 72%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 23
RAUM per advisor: $181Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G•••• R•••••	Certified Financial Planner	PHILADELPHIA, PA	34	39	n/a	no
S•••• A•••••• M•••••••	Certified Financial Planner	PHILADELPHIA, PA	27	37

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
W•••••• M••••••••• P•••••• E••••• L•	Private Equity Fund	$689,829	Mar 29, 2019	15	Mar 27, 2012	dropped	021-113419
W•••••• C• N••• L•	Private Equity Fund	$0	Mar 27, 2014

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• H••••••• L••	Member	B	yes	12/2021	Apr 21, 2026	Apr 21, 2026
D••••••• C•••••• M•••••••	CHIEF OPERATIONS OFFICER AND CHIEF COMPLIANCE OFFICER, MANAGING BOARD MEMBER, PRESIDENT	Na	yes	04/2020	Apr 21, 2026	Apr 21, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• M••••• L••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Harleysville	Pa	United States	9	no
FORT WASHINGTON	Pa	United States	5	no
Miami	FL	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	4.3%	0	0	0	1	5

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	$4.2B	$3.7B	11.6%	$3.4B	7.1%	48	50	5	6

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• W••••• M••••••••• L••	2	Nov 24, 2015	Jul 28, 2015	PHILADELPHIA, PA	Team lift out	Other	15.4%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••• P••••••• S••••••• L•••	6	Dec 31, 2021	Jan 13, 2022	HARLEYSVILLE, PA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (9)

← O••••••••• C••••••• J•••••OwnerMANAGING BOARD MEMBER, ownership code NA, individual
Apr 21, 2026 to presentfactForm ADV
← R•••••• G••••OwnerCHAIRMAN, PRESIDENT, CEO, MEMBER, AND MANAGING BOARD MEMBER, ownership code D, individual
Apr 21, 2026 to presentfactForm ADV
← A••••••• H••••••• L••OwnerMEMBER, ownership code B, domestic entity
Apr 21, 2026 to presentfactForm ADV
← D••••••• C•••••• M•••••••OwnerCHIEF OPERATIONS OFFICER AND CHIEF COMPLIANCE OFFICER, MANAGING BOARD MEMBER, PRESIDENT, ownership code NA, individual

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 21, 2026
Ria office closed
••• Locked
Form ADVobserved today
Occurred
Apr 21, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Apr 21, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b096f4fd-0636-14cc-f681-b7f85038c249
First observed: Mar 27, 2012
Last observed: Apr 21, 2026 5 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.