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

INSTITUTIONAL ADVISORS LLC

CRD 149378

WYOMISSING, 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:da9262eb-aae2-02d8-73c1-d49bc22e79e8

Data as of Feb 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Feb 23, 2016
7 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: $1.2BItem 5.F on the latest filing (2016-02-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
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: 47
Advisory employees: 8
Accounts: 980
Custody, client assets: $0
SEC number: 801-69961
CRD: 149378
Filings on the tape: 7
First filed: Feb 29, 2012
Latest filed: Feb 23, 2016
Organised: Limited Liability Company, Pennsylvania

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
KEHOE, SEAN, P	Secretary	Na	yes	10/2014	Jan 30, 2015	Feb 23, 2016
KING, JAMES, DAVID	President	Na	yes	01/2009	Feb 29, 2012	Feb 23, 2016
KLEFFEL, KAREN, LOUISE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2009	Feb 29, 2012	Feb 23, 2016
LORD, RICHARD, ARLEN	CHIEF FINANCIAL OFFICER	Na	yes	01/2009	Feb 29, 2012	Feb 23, 2016
NATIONAL PENN BANCSHARES, INC	HOLDING COMPANY	E	yes	02/2009	Feb 29, 2012	Feb 23, 2016
NATIONAL PENN BANK	Owner	E	yes	01/2009	Feb 29, 2012	Feb 23, 2016

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
NATIONAL PENN BANK	n/a	n/a	n/a	Y	yes	n/a
NATIONAL PENN BANK	n/a	n/a	n/a	Y	yes	Pa
NATIONAL PENN INSURANCE SERVICES GROUP, INC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

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

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
2015	Feb 23, 2016	$1.2B	$1.2B	47	8	n/a	n/a	n/a
2014	Jan 30, 2015	$1.2B	$1.2B	47	8	n/a	n/a	n/a
2013	Feb 4, 2014	$1.1B	$1.1B	21	8	n/a	n/a	n/a
2012	Mar 20, 2013	$948M	$948M	24	7	n/a	n/a	n/a
2011	Feb 29, 2012	$904M	$904M	n/a	n/a	n/a	n/a	n/a

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
2015	$1.2B	$1.2B	1.1%	$948M	7.7%	47	47	n/a	n/a

Relationships

Controls (6)

← LORD, RICHARD, ARLENOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← KLEFFEL, KAREN, LOUISEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← KEHOE, SEAN, POwnerSECRETARY, ownership code NA, individual
Jan 30, 2015 to presentfactForm ADV
← KING, JAMES, DAVIDOwnerPRESIDENT, ownership code NA, individual
Feb 29, 2012 to presentfactForm ADV
← NATIONAL PENN BANCSHARES, INCOwnerHOLDING COMPANY, ownership code E, domestic entity
Feb 29, 2012 to presentfactForm ADV
← NATIONAL PENN BANKOwnerOWNER, ownership code E, domestic entity
Feb 29, 2012 to presentfactForm ADV

Affiliated with (1)

← NATIONAL PENN CAPITAL ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:da9262eb-aae2-02d8-73c1-d49bc22e79e8
First observed: Feb 29, 2012
Last observed: Feb 23, 2016 128 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.

INSTITUTIONAL ADVISORS LLC

CRD 149378

WYOMISSING, 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:da9262eb-aae2-02d8-73c1-d49bc22e79e8

Data as of Feb 23, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KEHOE, SEAN, P

Secretary

yes

10/2014

Jan 30, 2015

Feb 23, 2016

KING, JAMES, DAVID

President

yes

01/2009

Feb 29, 2012

Feb 23, 2016

KLEFFEL, KAREN, LOUISE

CHIEF COMPLIANCE OFFICER

yes

01/2009

Feb 29, 2012

Feb 23, 2016

LORD, RICHARD, ARLEN

CHIEF FINANCIAL OFFICER

yes

01/2009

Feb 29, 2012

Feb 23, 2016

NATIONAL PENN BANCSHARES, INC

HOLDING COMPANY

yes

02/2009

Feb 29, 2012

Feb 23, 2016

NATIONAL PENN BANK

Owner

yes

01/2009

Feb 29, 2012

Feb 23, 2016

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NATIONAL PENN BANK

n/a

yes

n/a

NATIONAL PENN BANK

n/a

yes

NATIONAL PENN INSURANCE SERVICES GROUP, INC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Allentown

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Feb 23, 2016

$1.2B

n/a

2014

Jan 30, 2015

$1.2B

n/a

2013

Feb 4, 2014

$1.1B

n/a

2012

Mar 20, 2013

$948M

n/a

2011

Feb 29, 2012

$904M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$1.2B

1.1%

$948M

7.7%

n/a