DFX Intelligence

Data Factory

R••••• 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 1b 10b

R••••• F•••••••• A•••••••• I•••

CRD 20560

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:c86cbb87-969b-1bf9-28c2-dc781c5e3d5e

Data as of Jul 29, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 2
Observed: Mar 27, 2012 to Jul 29, 2015
8 observations

Across DFX

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

RIA / Wealth Managementidentity

R••••• F•••••••• A•••••••• L••

Registered adviser · shared crd

Private Equityidentity

R••••• F•••••••• A•••••••• L••

Intermediary · 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: $1.3BItem 5.F on the latest filing (2015-07-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.3B
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

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
H•••• E••• H•••••	Ceo	D	yes	10/1986	Mar 27, 2012	Jul 29, 2015
H•••• J•••• G•••••••	SECRETARY & TREASURER	Na	yes	08/1989	Mar 27, 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
N••••••• A••••••• T•••• C•••••• F••	n/a	n/a	n/a	N	no	Ks

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
2014	$1.3B	$1.3B	-1.0%	$1.0B	9.0%	12	9	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

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

Relationships

Controls (5)

← M••••••• M••••••• N•••••OwnerPRESIDENT, ownership code B, individual
Mar 27, 2012 to presentfactForm ADV
← H•••• J•••• G•••••••OwnerSECRETARY & TREASURER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← R••••••••• C•••• M••••••OwnerSENIOR VICE PRESIDENT, ownership code A, individual
Mar 27, 2012 to presentfactForm ADV
← V••••••••• S••••••••• R•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c86cbb87-969b-1bf9-28c2-dc781c5e3d5e
First observed: Mar 27, 2012
Last observed: Jul 29, 2015 135 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.