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F••• I• 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

F••• I• A••••••• L••

CRD 159976

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:dcc3fad0-9d5f-f4c9-2e4b-57c63f287861

Data as of Mar 22, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 0
On other graphs: 0
Observed: Jan 25, 2012 to Mar 22, 2018
15 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: $5.1BItem 5.F on the latest filing (2018-03-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.1B
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
A••••••• D••••• J•	Member	D	yes	05/2007	Jan 25, 2012	Mar 22, 2018
A••••••• D••••• J•	Principal	Na	yes	11/2011	Jan 25, 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
F••••• A••••••• L••	n/a	Asset manager	$16B	N	yes	n/a
F• I••••••••• A••••••• L••	n/a	Former SEC adviser	$4.3B	N	yes

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
2017	$5.1B	$5.0B	2.9%	$4.7B	2.6%	171	143	0	n/a

Relationships

Affiliated with (18)

→ F• I••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F• G••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F••• I•• A••••••• L••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dcc3fad0-9d5f-f4c9-2e4b-57c63f287861
First observed: Jan 25, 2012
Last observed: Mar 22, 2018 103 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.