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M••••• C•••••• A••••••• I••

Former SEC-registered adviserFormer SEC adviser· Malvern, Pennsylvania

Former SEC-registered adviser, based in Malvern, Pennsylvania, reporting $161M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$161M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+11%
Form ADV, consecutive annual filings
Private clients
73% of RAUM, $118M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 15 Form ADV filings for this adviser, the latest 4.5 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 105890 · SEC 801-48262 · 15 filingsShow
CRD 105890SEC 801-48262First filing on the tape Mar 5, 2012, latest Mar 30, 2022IAPD
RAUM
$161M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
73%
$118M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$161M as of Mar 30, 2022
Mar 5, 2012$148M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2022
Feb 4, 20133 then
Employees (5.A)3 as of Mar 30, 2022
Feb 4, 20133 then
Private funds: no history
RAUM +11% over the last fiscal year-2.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2022; every figure names its basis
RAUM per advisor
$80.4MderivedRAUM 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
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$118M73%
  • Investment companies$26.1M16%
  • Charitable organizations$12.5M7.8%
  • Pooled investment vehicles$4.1M2.6%
  • Corporations and businesses$32,0660.0%
Individual clients
73reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
131reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $4.1M managedreported
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
      • M•••••• D•••••• A•••••• · President, Chief Compliance Officercontrol
        since 01/1995 · owns 75% or more
      • D••••• J•••••• T••••• · Vice-President
        since 09/2006 · owns 5% to 10%
      • G••••• J•••• R•••••• · Vice-President
        since 08/2005 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 143 to 131
        Mar 15, 2021 to Mar 30, 2022
      • Individual clients · 81 to 73
        Mar 15, 2021 to Mar 30, 2022
      • Discretionary RAUM · $138M to $156M
        Mar 15, 2021 to Mar 30, 2022
      • Individual RAUM · $105M to $118M
        Mar 15, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $6.4M to $4.5M
        Mar 15, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $7.2M to $4.1M
        Mar 15, 2021 to Mar 30, 2022
      • RAUM · $144M to $161M
        Mar 15, 2021 to Mar 30, 2022
      • Wrap assets (manager) · $7.2M to $4.1M
        Mar 15, 2021 to Mar 30, 2022
      • Accounts · 159 to 143
        Jun 10, 2020 to Mar 15, 2021
      • Individual clients · 92 to 81
        Jun 10, 2020 to Mar 15, 2021
      • Employees · 4 to 3
        Jun 10, 2020 to Mar 15, 2021
      • Discretionary RAUM · $136M to $138M
        Jun 10, 2020 to Mar 15, 2021
      • Individual RAUM · $105M to $105M
        Jun 10, 2020 to Mar 15, 2021
      • Non-discretionary RAUM · $7.9M to $6.4M
        Jun 10, 2020 to Mar 15, 2021
      • Pooled vehicle RAUM · $8.4M to $7.2M
        Jun 10, 2020 to Mar 15, 2021
      • RAUM · $144M to $144M
        Jun 10, 2020 to Mar 15, 2021
      • Wrap assets (manager) · $36.5M to $7.2M
        Jun 10, 2020 to Mar 15, 2021
      • Accounts · 175 to 159
        Mar 14, 2019 to Mar 9, 2020
      • Individual clients · 104 to 92
        Mar 14, 2019 to Mar 9, 2020
      • Pooled vehicle clients · 4 to 2
        Mar 14, 2019 to Mar 9, 2020
      • Other offices · 1 to 0
        Mar 14, 2019 to Mar 9, 2020
      • Discretionary RAUM · $129M to $136M
        Mar 14, 2019 to Mar 9, 2020
      • Individual RAUM · $95.5M to $105M
        Mar 14, 2019 to Mar 9, 2020
      • Non-discretionary RAUM · $46.2M to $7.9M
        Mar 14, 2019 to Mar 9, 2020
      • Pooled vehicle RAUM · $54.0M to $8.4M
        Mar 14, 2019 to Mar 9, 2020
      • RAUM · $175M to $144M
        Mar 14, 2019 to Mar 9, 2020
      • Accounts · 185 to 175
        Mar 29, 2018 to Mar 14, 2019
      • Individual clients · 109 to 104
        Mar 29, 2018 to Mar 14, 2019
      • Pooled vehicle clients · 3 to 4
        Mar 29, 2018 to Mar 14, 2019
      • Discretionary RAUM · $165M to $129M
        Mar 29, 2018 to Mar 14, 2019
      • Individual RAUM · $133M to $95.5M
        Mar 29, 2018 to Mar 14, 2019
      • Non-discretionary RAUM · $68.9M to $46.2M
        Mar 29, 2018 to Mar 14, 2019
      • Pooled vehicle RAUM · $68.9M to $54.0M
        Mar 29, 2018 to Mar 14, 2019
      • RAUM · $234M to $175M
        Mar 29, 2018 to Mar 14, 2019
      • Wrap assets (manager) · $2.2M to $36.5M
        Mar 29, 2018 to Mar 14, 2019
      • Accounts · 177 to 185
        Mar 7, 2017 to Mar 29, 2018
      • Charity clients · unset to 2.0
        Mar 7, 2017 to Mar 29, 2018
      • Corporate clients · unset to 2.0
        Mar 7, 2017 to Mar 29, 2018
      • Individual clients · unset to 109.0
        Mar 7, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 7, 2017 to Mar 29, 2018
      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