DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

M•••••• C•••••• M••••••••• I••

Former SEC-registered adviserWyomissing, PennsylvaniaCRD 105920SEC 801-47250IAPD
Latest filing Dec 3, 2014
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$73.4M
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
7
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$42.3M gross assets
History
6 filings and snapshots on the tape
RAUM$73.4M as of May 1, 2014
Mar 30, 2012$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of May 1, 2014
Mar 30, 20120 then
Employees (5.A)7 as of May 1, 2014
Mar 28, 20139 then
Private funds4 as of May 1, 2014
Mar 30, 20126 then
RAUM -21% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Dec 3, 2014; every figure names its basis
RAUM per advisor
$24.5MderivedRAUM 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
$2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-21%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
26reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    6 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••• I••••• P•••••••Hedge Fund$16.3M29Mar 30, 2012
    B•••••••• P•••••••Hedge Fund$14.8M22Mar 30, 2012
    O••• I••••••••• G•••Hedge Fund$7.7M15Mar 30, 2012
    V•• R••• G••••• F•••Hedge Fund$3.5M10Mar 30, 2012
    B•••• F•••• I••••• F•••no longer reportedHedge Fund$2.5M7Mar 30, 2012
    C••••••• I••••••••• G••••no longer reportedHedge Fund$2.5M9Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • C•••••• D•••••• M• · Vpcontrol
      since 01/1995 · owns less than 5%
    • M••••••• M••••••• J• · Chairman, Ceo And Director/Chief Compliance Officercontrol
      since 01/1999 · owns 75% or more
    • W•••••• J•••• P••• · Executive Vice President/Head Of F•••• I••••• Investmentscontrol
      since 04/2001 · owns less than 5%
    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 · 31 to 26
      Mar 28, 2013 to May 1, 2014
    • Employees · 9 to 7
      Mar 28, 2013 to May 1, 2014
    • Private funds · 6 to 4
      Mar 28, 2013 to May 1, 2014
    • Discretionary RAUM · $93.1M to $73.4M
      Mar 28, 2013 to May 1, 2014
    • RAUM · $93.1M to $73.4M
      Mar 28, 2013 to May 1, 2014
    • Accounts · 38 to 31
      Mar 30, 2012 to Mar 28, 2013
    • Advisory employees · unset to 3.0
      Mar 30, 2012 to Mar 28, 2013
    • Employees · unset to 9.0
      Mar 30, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 3
      Mar 30, 2012 to Mar 28, 2013
    • Discretionary RAUM · $119M to $93.1M
      Mar 30, 2012 to Mar 28, 2013
    • RAUM · $119M to $93.1M
      Mar 30, 2012 to Mar 28, 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