DFX Intelligence

D•••••• • R••••••• 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

D•••••• • R••••••• A••••••••• I•••

CRD 121786

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:d3f4c5e2-7c1a-6ed9-7cb3-1984f6dc283d

Data as of May 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 1, 2012 to May 21, 2012
4 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: $36.3M••• Locked
Discretionary RAUM: $25.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 46
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• R••••••• H••••	President	D	yes	06/1994	Mar 1, 2012	May 21, 2012
R•••••••• F••••• D••••	TREASURER, CHIEF COMPLIANCE OFFICER	D	yes	06/1994	Mar 1, 2012	May 21, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Canonsburg	Pa	United States	n/a	no
Pittsburgh	Pa	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	May 16, 2012	$36.3M	$25.7M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$36.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• E••••••••• L••	7	Jul 15, 2016	Aug 12, 2016	PITTSBURGH, PA	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← R•••••••• F••••• D••••OwnerTREASURER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 1, 2012 to presentfactForm ADV
← D••••••• R••••••• H••••OwnerPRESIDENT, ownership code D, individual
Mar 1, 2012 to presentfactForm ADV

Moved with (1)

→ L•• E••••••••• L••Registered adviser7 advisors, firm absorbed, same day
Jul 15, 2016 to Aug 12, 2016factForm ADV

Registered with (9)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3f4c5e2-7c1a-6ed9-7cb3-1984f6dc283d
First observed: Mar 1, 2012
Last observed: May 21, 2012 174 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.