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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

O•••••••• R••••••••• A•••••••• I•••

CRD 119848

MALVERN, PA

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Search this name across graphsid dfx:ria:b9d922f6-3d5a-8879-515e-45d62d683564

Data as of Mar 26, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 26, 2018
10 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: $276MItem 5.F on the latest filing (2018-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $276M
Private client RAUM: $276MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
O•••••• J•••• R•••	President	C	yes	07/2000	Mar 29, 2012	Mar 26, 2018
O•••••• F••••••• C••••••	CHAIRMAN/CHIEF COMPLIANCE OFFICER	C	yes	07/2000	Mar 29, 2012

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
F•••••• C• O•••••• J••	n/a	n/a	n/a	Y	no	n/a
O•••••••• T••• I•••	n/a	n/a	n/a	N	yes	n/a

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

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
2017	$276M	$264M	4.4%	$230M	6.2%	10	11	0	n/a

Relationships

Controls (2)

← O•••••• F••••••• C••••••OwnerCHAIRMAN/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← O•••••• J•••• R•••OwnerPRESIDENT, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (4)

← John Ring O'BrienAdvisorregistration: previous registration
Oct 19, 2000 to Dec 10, 2018factForm ADV
← ROBERT J••• FALCON

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9d922f6-3d5a-8879-515e-45d62d683564
First observed: Mar 29, 2012
Last observed: Mar 26, 2018 103 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.