DFX Intelligence

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

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

R••••• F•••••••• A•••••••• L••

CRD 282753

WAYNE, 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:c80a95d0-0657-9a06-067b-900c2325f714

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:09 AM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 21
On other graphs: 2
Observed: Feb 17, 2016 to Mar 1, 2023
24 observations

Across DFX

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

Private Equityidentity

R••••• F•••••••• A•••••••• L••

Intermediary · shared crd

RIA / Wealth Managementidentity

R••••• F•••••••• A•••••••• I•••

Registered adviser · shared crd

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: $2.8B••• Locked
Discretionary RAUM: $2.8B
Private client RAUM: $2.8Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C• F•••••••• C••••	Owner	E	yes	08/2021	Nov 5, 2021	Mar 1, 2023
C• P•••••• W•••••• L••	Owner	E	yes	01/2022	Mar 1, 2023	Mar 1, 2023
C• U• H••••••• I•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C• P•••••• W•••••• L••	n/a	Independent wealth	$165B	Y	yes	n/a
C••• F••••• O••••• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$2.8B	$2.3B	20.7%	$1.6B	20.7%	23	22	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••	14	Mar 31, 2023	Nov 3, 2022	WAYNE, PA	Firm absorbed	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••••• F•••••••• A•••••••• I•••	5	Mar 23, 2016	Mar 15, 2016	WAYNE, PA	Firm absorbed	Other	100.0%

Relationships

Affiliated with (2)

→ C••••••Registered adviserother investment adviser, control, common control
factForm ADV
← P•••••• P•••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (11)

← M••••••• M••••••• N•••••OwnerPRESIDENT, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Feb 17, 2016 to presentfactForm ADV
← N•••••••• L••••• T••••••Owner

Dated events

Occurred
Mar 31, 2023
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
14 advisors
Occurred
Mar 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c80a95d0-0657-9a06-067b-900c2325f714
First observed: Feb 17, 2016
Last observed: Mar 1, 2023 43 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.