DFX Intelligence

W••• C•••••• A•••• M••••••••• 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

W••• C•••••• A•••• M••••••••• I•••

CRD 170718

PHILADELPHIA, 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 graphs

Data as of Mar 2, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Aug 8, 2014 to Mar 2, 2015
5 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: $56.6M••• Locked
Discretionary RAUM: $56.6M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• G•••••••• J•••••	PARTNER / CHIEF COMPLIANCE OFFICER	C	yes	02/2014	Aug 8, 2014	Mar 2, 2015
F•••••• P•••••••• F••••••	Treasurer	Na	yes	02/2013	Aug 8, 2014	Mar 2, 2015

Relationships

Controls (3)

← D•••••• G•••••••• J•••••OwnerPARTNER / CHIEF COMPLIANCE OFFICER, ownership code C, individual
Aug 8, 2014 to presentfactForm ADV
← M••••• B••••• L•••••••OwnerPARTNER, ownership code D, individual
Aug 8, 2014 to presentfactForm ADV
← F•••••• P•••••••• F••••••OwnerTREASURER, ownership code NA, individual
Aug 8, 2014 to presentfactForm ADV

Registered with (1)

← G••••••• J••••• D•••••Advisor

Dated events

Occurred
Aug 8, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 8, 2014
Last observed: Mar 2, 2015 140 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.