DFX Intelligence

Data Factory

S•••• F•••••••• A••••••• I••: 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 under $100M

S•••• F•••••••• A••••••• I••

CRD 110061

PITTSBURGH, 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:bfb5f7a4-390a-7604-fa4b-92e3f32c5f6c

Data as of Apr 1, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Apr 1, 2017
9 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: $38.2MItem 5.F on the latest filing (2017-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $34.7M
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

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• A••••• F••• I•	Other Private Fund	$362,000	Apr 1, 2017	12	Mar 31, 2015	reported	n/a

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
W•••••••• J•••• A••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	D	yes	04/1993	Mar 29, 2012	Apr 1, 2017
S••••••• C••••••• K•	Secretary	Na	no	01/1996	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
A•••• P••••••	n/a	n/a	n/a	N	no	n/a
S•••••••• A••••• G••••• L••	n/a	n/a	n/a	N	no	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
2016	$38.2M	$40.9M	-6.7%	$45.7M	-5.8%	3	3	n/a	n/a

Relationships

Advises (1)

→ S•••••••• A••••• F••• I•Private fundOther Private Fund, IA
Mar 31, 2015 to presentfactForm ADV

Controls (1)

← W•••••••• J•••• A••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV

Owns (2)

← S••••••• C••••••• K•OwnerSECRETARY, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bfb5f7a4-390a-7604-fa4b-92e3f32c5f6c
First observed: Mar 29, 2012
Last observed: Apr 1, 2017 115 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.