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Former SEC-registered adviser

T•• C•••••• L••

Former SEC-registered adviserWest Chester, PennsylvaniaCRD 107811SEC 801-56947IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$448M
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
17
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$65.3M gross assets
History
13 filings and snapshots on the tape
RAUM$448M as of Mar 31, 2017
Mar 30, 2012$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 31, 2017
Mar 30, 20120 then
Employees (5.A)17 as of Mar 31, 2017
Mar 26, 201324 then
Private funds2 as of Mar 31, 2017
Mar 30, 20123 then
RAUM -45% over the last fiscal year-36% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
RAUM per advisor
$224MderivedRAUM 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
$89.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
8.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-45%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, performance-basedreportedItem 5.E
Advisory activities
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)
  • 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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••• C•••••• P••••••• L••Hedge Fund$32.8M34Mar 30, 2012
      H••••••• G••••• P•••••••• L••Hedge Fund$32.5M41Mar 30, 2012
      O••••••• P••••••• L••no longer reportedHedge Fund$26.8M3Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• C••• · Membercontrol
        since 01/2007 · owns 10% to 25%
      • G••••• K••••• J•••• · Member, Co-Portfolio Managercontrol
        since 01/1998 · owns 25% to 50%
      • G••••• R••••••• J••• · Member, Co-Portfolio Managercontrol
        since 01/1998 · owns 25% to 50%
      • N•••••• E•••• S••• · Member, Co-Portfolio Manager, Chief Investment Officercontrol
        since 02/2003 · owns 5% to 10%
      • S•••••••• M•••• F•••••• · Chief Operating Officercontrol
        since 07/2014 · owns less than 5%
      • S•••••••• G••••••• M••••• · Chief Financial Officercontrol
        since 01/2008 · owns less than 5%
      • S••••• S•••••• G•••••• · General Counselcontrol
        since 04/2011 · owns less than 5%
      • Z••••••• M•••• K•••• · Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•••••• C•••••• L••
        pooled vehicle sponsorn
      • L•• C•••••• M••••••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 11
        Jun 30, 2016 to Mar 31, 2017
      • Employees · 25 to 17
        Jun 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $815M to $448M
        Jun 30, 2016 to Mar 31, 2017
      • RAUM · $815M to $448M
        Jun 30, 2016 to Mar 31, 2017
      • Advisory employees · 15 to 12
        Aug 5, 2015 to Mar 30, 2016
      • Employees · 26 to 25
        Aug 5, 2015 to Mar 30, 2016
      • Discretionary RAUM · $928M to $815M
        Aug 5, 2015 to Mar 30, 2016
      • RAUM · $928M to $815M
        Aug 5, 2015 to Mar 30, 2016
      • Advisory employees · 17 to 15
        Jul 23, 2014 to Mar 10, 2015
      • Employees · 24 to 26
        Jul 23, 2014 to Mar 10, 2015
      • Discretionary RAUM · $1.7B to $928M
        Jul 23, 2014 to Mar 10, 2015
      • RAUM · $1.7B to $928M
        Jul 23, 2014 to Mar 10, 2015
      • Discretionary RAUM · $2.1B to $1.7B
        Mar 26, 2013 to Mar 27, 2014
      • RAUM · $2.1B to $1.7B
        Mar 26, 2013 to Mar 27, 2014
      • Accounts · 6 to 5
        Oct 19, 2012 to Mar 26, 2013
      • Advisory employees · unset to 17.0
        Oct 19, 2012 to Mar 26, 2013
      • Employees · unset to 24.0
        Oct 19, 2012 to Mar 26, 2013
      • State-registered IARs · 0 to 2
        Oct 19, 2012 to Mar 26, 2013
      • Private funds · 3 to 2
        Oct 19, 2012 to Mar 26, 2013
      • Discretionary RAUM · $2.1B to $2.1B
        Oct 19, 2012 to Mar 26, 2013
      • RAUM · $2.1B to $2.1B
        Oct 19, 2012 to Mar 26, 2013
      • Financial planning clients · 0 to unset
        Jun 18, 2012 to Oct 19, 2012
      • Discretionary RAUM · $1.8B to $2.1B
        Jun 18, 2012 to Oct 19, 2012
      • RAUM · $1.8B to $2.1B
        Jun 18, 2012 to Oct 19, 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