DFX Intelligence

P•••••• I••••••••• P••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

P•••••• I••••••••• P••••••• I•••

CRD 137806

WEST CONSHOHOCKEN, PA

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Search this name across graphs

Data as of Oct 7, 2014 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 0
On other graphs: 1
Observed: Nov 21, 2011 to Oct 7, 2014
9 observations

Across DFX

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

Private Equityidentity

P•••••• I••••••••• P••••••• I•••

P•••••• equity manager · key_crd, key_sfn_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: $123M••• Locked
Discretionary RAUM: $123M
P•••••• client RAUM: $0derived••• Locked
P•••••• client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 28
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• S••••••	P••••• O• M• H••••••• I•••••••••	E	yes	11/1995	Nov 21, 2011	Oct 7, 2014
M• H••••••• I•••••••••	P••••• O• P•••••• I••••••••• P••••••• I•••	E	yes	11/2005	Nov 21, 2011	Oct 7, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• S•••••• S•••• B••••• L••	n/a	Wirehouse	$1962B	N	yes	n/a
M••••• S•••••• I••••••••• M••••••••• I•••	n/a	Asset manager	$702B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	P•••••• funds	Fund GAV
2013	Mar 28, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$123M	$386M	-68.3%	n/a	n/a	28	100	n/a	n/a

Relationships

Affiliated with (32)

← M••••• S•••••• • E•••• V•••• C•• M•••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ M••••• S•••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ M•••• I••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ M••• R••• E••••• S•••••• S••••••••• I• M•••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 21, 2011
Last observed: Oct 7, 2014 145 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.