DFX Intelligence

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

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RIA / WealthRegistered adviserbroker-dealer affiliated wealth managerSEC registeredRAUM 10b 100b

C•••• C•••••• M••••••••• G•••• I••

CRD 104796

PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:f9ce4ad7-71eb-c92c-6751-d7d396680212

Data as of May 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 13
On other graphs: 0
Observed: Mar 28, 2012 to May 22, 2026
39 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: broker-dealer affiliated wealth managerderivedprivate_client_share=0.7 fund_share=0.24 institutional_share=0.02 related_bd=true related_bank=false bd_reps=50.0
Regulatory AUM: $36B••• Locked
Discretionary RAUM: $36B
Private client RAUM: $25Bderived••• Locked
Private client share: 70%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $36B

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
H•••• J••••• C••••	n/a	PHILADELPHIA, PA	35	45	n/a	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••••••• F•••• I••••• T•••• R••••• F••• L••••••	Other Private Fund	$1.1M	Nov 15, 2013	8	Nov 15, 2013	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• C•••••• E••••••••	EXECUTIVE VICE PRESIDENT OF CORPORATE CULTURE	B	yes	03/1998	May 22, 2026	May 22, 2026
C••••• B••••••• M••••••	CHIEF EXECUTIVE OFFICER	B	yes	03/2005	May 22, 2026	May 22, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$36B	$31B	16.8%	$22B	17.6%	151	151	0	0

Relationships

Affiliated with (1)

← N•••••••• ASSET MANAGEMENT LLCRegistered adviserother investment adviser, control
factForm ADV

Registered with (2)

← H•••• J••••• C••••Advisorregistration: current employment
Feb 19, 1991 to presentfactForm ADV
← DANIEL CHRISTIAN GIDDENSAdvisorregistration: previous registration
Feb 28, 2005 to Nov 2, 2010factForm ADV

Controls (15)

Dated events

Occurred
Mar 28, 2023
Control person joined
David Craig Pfeiffer (Director) appeared on Schedule A of C•••• C•••••• M••••••••• G•••• I••
Form ADVobserved 7 days ago
Occurred
Jan 10, 2023
Control person joined
Edmund Matt Gordon (Executive Vice President, Chief Technology Officer) appeared on Schedule A of C•••• C•••••• M••••••••• G•••• I••
Form ADVobserved 7 days ago
Occurred
Aug 2, 2022
Control person joined
Gregory Chad Painter (Executive Vice President, Chief Operating Officer) appeared on Schedule A of C•••• C•••••• M••••••••• G•••• I••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9ce4ad7-71eb-c92c-6751-d7d396680212
First observed: Mar 28, 2012
Last observed: May 22, 2026 4 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.