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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•• A••••••• I••

Former SEC-registered adviserWest Chester, PennsylvaniaCRD 106129SEC 801-37183IAPD
Latest filing Feb 22, 2017
First filing on the tape Feb 28, 2012 · 9 filings
RAUM
$273M
reported, Item 5.F
Discretionary
99%
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
5
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$273M as of Feb 22, 2017
Feb 28, 2012$122M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 22, 2017
Feb 28, 20120 then
Employees (5.A)5 as of Feb 22, 2017
Feb 8, 20135 then
Private funds: no history
RAUM +111% over the last fiscal year+27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2017; 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
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+111%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
Custody
$44.8M, 25 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
199reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$44.8M for 25 clientsreported
Compensation
fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• V••••••• L••• · President, Treasurer, & Chief Compliance Officercontrol
    since 07/2010 · owns 10% to 25%
  • M••• J••••• C•••••••• · Corporate Secretarycontrol
    since 07/2010 · owns less than 5%
  • M••• R••••••• K••• · Vice Presidentcontrol
    since 12/2009 · owns 75% or more
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 · 72 to 199
    Feb 18, 2016 to Feb 22, 2017
  • Assets in custody · $41.7M to $44.8M
    Feb 18, 2016 to Feb 22, 2017
  • Discretionary RAUM · $2.0M to $271M
    Feb 18, 2016 to Feb 22, 2017
  • Non-discretionary RAUM · $127M to $2.0M
    Feb 18, 2016 to Feb 22, 2017
  • RAUM · $129M to $273M
    Feb 18, 2016 to Feb 22, 2017
  • Accounts · 80 to 72
    Feb 23, 2015 to Feb 18, 2016
  • Advisory employees · 3 to 4
    Feb 23, 2015 to Feb 18, 2016
  • BD registered reps · 1 to 0
    Feb 23, 2015 to Feb 18, 2016
  • Assets in custody · $37.3M to $41.7M
    Feb 23, 2015 to Feb 18, 2016
  • Discretionary RAUM · $2.3M to $2.0M
    Feb 23, 2015 to Feb 18, 2016
  • Non-discretionary RAUM · $140M to $127M
    Feb 23, 2015 to Feb 18, 2016
  • RAUM · $142M to $129M
    Feb 23, 2015 to Feb 18, 2016
  • Accounts · 73 to 80
    Feb 21, 2014 to Feb 23, 2015
  • Assets in custody · $36.9M to $37.3M
    Feb 21, 2014 to Feb 23, 2015
  • Discretionary RAUM · $2.4M to $2.3M
    Feb 21, 2014 to Feb 23, 2015
  • Non-discretionary RAUM · $130M to $140M
    Feb 21, 2014 to Feb 23, 2015
  • RAUM · $132M to $142M
    Feb 21, 2014 to Feb 23, 2015
  • Accounts · 80 to 73
    Feb 8, 2013 to Feb 21, 2014
  • Assets in custody · $33.6M to $36.9M
    Feb 8, 2013 to Feb 21, 2014
  • Discretionary RAUM · $2.0M to $2.4M
    Feb 8, 2013 to Feb 21, 2014
  • Non-discretionary RAUM · $125M to $130M
    Feb 8, 2013 to Feb 21, 2014
  • RAUM · $127M to $132M
    Feb 8, 2013 to Feb 21, 2014
  • Accounts · 89 to 80
    Jan 3, 2013 to Feb 8, 2013
  • BD registered reps · 0 to 1
    Jan 3, 2013 to Feb 8, 2013
  • Assets in custody · $21.2M to $33.6M
    Jan 3, 2013 to Feb 8, 2013
  • Discretionary RAUM · $1.2M to $2.0M
    Jan 3, 2013 to Feb 8, 2013
  • Non-discretionary RAUM · $121M to $125M
    Jan 3, 2013 to Feb 8, 2013
  • RAUM · $122M to $127M
    Jan 3, 2013 to Feb 8, 2013
  • Advisory employees · unset to 3.0
    Oct 12, 2012 to Dec 10, 2012
  • Employees · unset to 5.0
    Oct 12, 2012 to Dec 10, 2012
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