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

S•••••••• C•••••• M••••••••• I•••

Former SEC-registered adviserExton, PennsylvaniaCRD 106662SEC 801-45366IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$40.0M
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$40.0M as of Mar 31, 2015
Mar 29, 2012$76.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2015
Mar 26, 20135 then
Employees (5.A)4 as of Mar 31, 2015
Mar 26, 20137 then
Private funds: no history
RAUM -30% over the last fiscal year-19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$10.0MderivedRAUM 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
$108,401derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-30%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 businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
369reported
Financial planning clients
0reported
Wrap fee programs
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• R••••• N•• · Chief Executive Officercontrol
        since 11/1989 · owns 75% or more
      • S••••••••• B••••• A••••• · Chief Compliance Officer
        since 08/2012 · 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 · 439 to 369
        Dec 15, 2014 to Mar 31, 2015
      • Employees · 7 to 4
        Dec 15, 2014 to Mar 31, 2015
      • Insurance-licensed employees · 0 to 3
        Dec 15, 2014 to Mar 31, 2015
      • Discretionary RAUM · $57.5M to $40.0M
        Dec 15, 2014 to Mar 31, 2015
      • RAUM · $57.5M to $40.0M
        Dec 15, 2014 to Mar 31, 2015
      • Accounts · 539 to 439
        Mar 26, 2013 to Mar 31, 2014
      • Advisory activities · 6 to 4
        Mar 26, 2013 to Mar 31, 2014
      • State-registered IARs · 5 to 4
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $62.2M to $57.5M
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $62.2M to $57.5M
        Mar 26, 2013 to Mar 31, 2014
      • Accounts · 800 to 539
        Dec 14, 2012 to Mar 26, 2013
      • Employees · 8 to 7
        Dec 14, 2012 to Mar 26, 2013
      • Discretionary RAUM · $76.4M to $62.2M
        Dec 14, 2012 to Mar 26, 2013
      • RAUM · $76.4M to $62.2M
        Dec 14, 2012 to Mar 26, 2013
      • Advisory employees · unset to 4.0
        Sep 24, 2012 to Dec 14, 2012
      • Employees · unset to 8.0
        Sep 24, 2012 to Dec 14, 2012
      • State-registered IARs · unset to 5.0
        Sep 24, 2012 to Dec 14, 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