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Former SEC-registered adviser

R••••• L•••• C•••••• M••••••••• I•••

Former SEC-registered adviserDallas, TexasCRD 105214SEC 801-27938IAPD
Latest filing May 2, 2013
First filing on the tape Jan 27, 2012 · 3 filings
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$133M as of Jan 23, 2013
Jan 27, 2012$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 6
Private funds: no history
RAUM -17% over the last fiscal year
Practice profile
derived from the filing of May 2, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$465,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
286reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• D••••• A••• · Vp, Secretary & Treasurercontrol
        since 12/1988 · owns 50% to 75%
      • R•••••• J•••• D•••• · Chief Compliance Officer/Ceo/Presidentcontrol
        since 11/1980 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list R••••• L•••• C•••••• M••••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Lancaster, PA
      What changed
      consecutive filings, newest first
      • Accounts · 312 to 286
        Jan 27, 2012 to Jan 23, 2013
      • Advisory employees · unset to 2.0
        Jan 27, 2012 to Jan 23, 2013
      • Employees · unset to 6.0
        Jan 27, 2012 to Jan 23, 2013
      • State-registered IARs · unset to 0.0
        Jan 27, 2012 to Jan 23, 2013
      • Discretionary RAUM · $160M to $133M
        Jan 27, 2012 to Jan 23, 2013
      • RAUM · $160M to $133M
        Jan 27, 2012 to Jan 23, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026