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Former SEC-registered adviser

E•• I••••••••• G•••• I••

Former SEC-registered adviserYork, PennsylvaniaCRD 105893SEC 801-33567IAPD
Latest filing Mar 29, 2016
First filing on the tape Mar 12, 2012 · 10 filings
RAUM
$428M
reported, Item 5.F
Discretionary
97%
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
7
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$428M as of Feb 11, 2016
Mar 12, 2012$432M then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Feb 11, 2016
Mar 12, 20120 then
Employees (5.A)7 as of Feb 11, 2016
Feb 21, 20136 then
Private funds: no history
RAUM -18% over the last fiscal year-2.8% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
RAUM per advisor
$71.3MderivedRAUM 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
$407,720derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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 assets, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Custody
$428M, 1,049 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a trust company (6.A.8)
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
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
1,049reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$428M for 1,049 clientsreported
Compensation
% of AUM, hourly, commissionsreported
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
      • C•••••• B••••••• E••••• · Chief Financial Officercontrol
        since 05/2010 · owns less than 5%
      • C•••••• E•••••• S•••••• · Chief Executive Officercontrol
        since 01/2002 · owns 50% to 75%
      • S•••••• B•••••• M•• · Chief Compliance Officercontrol
        since 12/2004 · owns less than 5%
      • C•••••• E•••••• S•••••• · Shareholder - Class A & Class Bcontrol
        since 04/2011 · owns 50% to 75% of C•••••• F•••••••• L••
      • S••••• B••••• D•••• · Shareholder - Class Bcontrol
        since 04/2011 · owns 25% to 50% of C•••••• F•••••••• L••
      Entity owners
      • C•••••• F•••••••• L•• · Owner / Shareholder - Class A & Class B
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• T•••• C••••••
        custodiann
      Offices
      Schedule D 1.F, the 25 largest
      • Hanover, PA
      What changed
      consecutive filings, newest first
      • Accounts · 938 to 1,049
        Feb 5, 2015 to Feb 11, 2016
      • Assets in custody · $523M to $428M
        Feb 5, 2015 to Feb 11, 2016
      • Discretionary RAUM · $508M to $413M
        Feb 5, 2015 to Feb 11, 2016
      • Non-discretionary RAUM · $14.5M to $14.8M
        Feb 5, 2015 to Feb 11, 2016
      • RAUM · $523M to $428M
        Feb 5, 2015 to Feb 11, 2016
      • Accounts · 1,094 to 938
        Sep 15, 2014 to Feb 5, 2015
      • BD registered reps · 6 to 7
        Sep 15, 2014 to Feb 5, 2015
      • Assets in custody · unset to 522538859.0
        Sep 15, 2014 to Feb 5, 2015
      • Custody of client assets · false to true
        Sep 15, 2014 to Feb 5, 2015
      • Discretionary RAUM · $497M to $508M
        Sep 15, 2014 to Feb 5, 2015
      • Non-discretionary RAUM · $13.5M to $14.5M
        Sep 15, 2014 to Feb 5, 2015
      • RAUM · $510M to $523M
        Sep 15, 2014 to Feb 5, 2015
      • Accounts · 925 to 1,094
        May 14, 2013 to Feb 24, 2014
      • Advisory employees · 6 to 7
        May 14, 2013 to Feb 24, 2014
      • Employees · 6 to 7
        May 14, 2013 to Feb 24, 2014
      • Discretionary RAUM · $434M to $497M
        May 14, 2013 to Feb 24, 2014
      • Non-discretionary RAUM · $31.7M to $13.5M
        May 14, 2013 to Feb 24, 2014
      • RAUM · $466M to $510M
        May 14, 2013 to Feb 24, 2014
      • Accounts · 784 to 925
        Mar 12, 2012 to Feb 21, 2013
      • Advisory employees · unset to 6.0
        Mar 12, 2012 to Feb 21, 2013
      • BD registered reps · unset to 6.0
        Mar 12, 2012 to Feb 21, 2013
      • Employees · unset to 6.0
        Mar 12, 2012 to Feb 21, 2013
      • State-registered IARs · 0 to 6
        Mar 12, 2012 to Feb 21, 2013
      • Discretionary RAUM · $432M to $434M
        Mar 12, 2012 to Feb 21, 2013
      • Non-discretionary RAUM · $0 to $31.7M
        Mar 12, 2012 to Feb 21, 2013
      • RAUM · $432M to $466M
        Mar 12, 2012 to Feb 21, 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