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

C•••••••• I••••••••• P•••••••

Former SEC-registered adviserBerwyn, PennsylvaniaCRD 106157SEC 801-54124IAPD
Latest filing Mar 27, 2013
First filing on the tape Mar 28, 2012 · 3 filings
RAUM
$5.2B
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
45
27 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$10.0M gross assets
History
3 filings and snapshots on the tape
RAUM$5.2B as of Mar 27, 2013
Mar 28, 2012$4.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 45
Private funds1 as of Mar 27, 2013
Mar 28, 20121 then
RAUM +9.9% over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2013; every figure names its basis
RAUM per advisor
$5.2BderivedRAUM 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
$34.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
45.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.9%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 assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
150reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
  • A••••••• J•••• E••••• · Partner, Client Services & Marketingcontrol
    since 08/2003 · owns less than 5%
  • A••••••• E•••••• N••••• · Managing Partner/Chief Investment Officercontrol
    since 03/1997 · owns 10% to 25%
  • C•••• D•••• · Limited Partner, Portfolio Analystcontrol
    since 02/1999 · owns less than 5%
  • D••••••••• D••••• C• · Managing Partner/Senior Portfolio Managercontrol
    since 03/1997 · owns less than 5%
  • H••••• G•••••• G•••••• · Managing Partner/Chief Financial Officer/Chief Compliance Officercontrol
    since 09/1997 · owns less than 5%
  • H••••••• J•••• A••••• · Managing Partner/Senior Portfolio Managercontrol
    since 08/2005 · owns less than 5%
  • J•••••• W•••••••• S••••• · Retired - Limited Partnercontrol
    since 12/2005 · owns 5% to 10%
  • J••••• M••••••• D••••• · Managing Partner/Portfolio Managercontrol
    since 10/1998 · owns less than 5%
  • K•••••• D••••••• W••••• · Limited Partner/Portfolio Managercontrol
    since 12/2005 · owns less than 5%
  • M••••••••• M••••••• J•••• · Managing Partner/President/Director Of Client Services And Marketingcontrol
    since 03/1997 · owns 5% to 10%
  • M•••••• K••••• A•••••••• · Managing Partner/Senior Portfolio Managercontrol
    since 03/1997 · owns 5% to 10%
  • N••••••••• M••••••• J••• · Partner/Head Tradercontrol
    since 07/1999 · owns less than 5%
  • O•••••• H•••••• A••• · Retired - Limited Partnercontrol
    since 12/2005 · owns 5% to 10%
  • P••••••• M••••• E• · Partner, Director Of Client Administrationcontrol
    since 06/2002 · owns less than 5%
  • R•••••• T••••••• J••••• · Managing Partner/Chief Executive Officercontrol
    since 03/1997 · owns 5% to 10%
  • S•••••••• B••••••• P••••• · Managing Partner/Senior Portfolio Managercontrol
    since 03/1997 · owns 5% to 10%
  • T••••••• A•••••• S•••• · Senior Portfolio Managercontrol
    since 06/1999 · owns less than 5%
  • W•••••••• C••••••••• F••••••• · Managing Partner, Senior Portfolio Managercontrol
    since 08/2003 · owns less than 5%
Entity owners
  • C•••••••• G•• I••• · General Partner
    direct · owns less than 5%
  • M••••••• P••••••• L••• · Limited Partner
    direct · owns 25% to 50%
  • B••••• P••••••• · General Partner Of M••••••• Partners, L.P.
    indirect · owns F of M••••••• Partners, L.P.
Related persons
Schedule D 7.A
Advisers that list C•••••••• I••••••••• P••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 137 to 150
    Apr 18, 2012 to Mar 27, 2013
  • Advisory employees · unset to 27.0
    Apr 18, 2012 to Mar 27, 2013
  • Employees · unset to 45.0
    Apr 18, 2012 to Mar 27, 2013
  • State-registered IARs · unset to 1.0
    Apr 18, 2012 to Mar 27, 2013
  • Discretionary RAUM · $4.8B to $5.2B
    Apr 18, 2012 to Mar 27, 2013
  • RAUM · $4.8B to $5.2B
    Apr 18, 2012 to Mar 27, 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