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

P•••• F•••••••• G••••• L••

Former SEC-registered adviserCRD 108210SEC 801-44324IAPD
Latest filing Mar 1, 2018
First filing on the tape Mar 19, 2012 · 14 filings
RAUM
$38.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
61%
$23.4M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$19.1M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$38.1M as of Mar 1, 2018
May 7, 2012$59.0M then
HNW client RAUM: $21.5M
State-registered IARs (5.B.3)1 as of Mar 1, 2018
May 7, 20120 then
Employees (5.A)2 as of Mar 1, 2018
Mar 21, 20132 then
Private funds: no history
RAUM -52% over the last fiscal year-23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 1, 2018; every figure names its basis
RAUM per advisor
$19.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
10derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-52%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 individualsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$21.5M56%
  • Pension and profit-sharing plans$14.7M39%
  • Individuals$1.9M5.1%
Individual clients
7reported
HNW clients
12reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
20reported
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
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••• B•••••• · Sec/Treasurercontrol
      since 06/2009 · owns 50% to 75%
    • D••••••• M••••••• W••••• · President/Chief Compliance Officercontrol
      since 08/1993 · 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
    • Insurance-licensed employees · 0 to 1
      Feb 19, 2018 to Feb 26, 2018
    • Advisory employees · 0 to 1
      Dec 1, 2017 to Feb 19, 2018
    • BD registered reps · 0 to 1
      Dec 1, 2017 to Feb 19, 2018
    • Individual clients · 8 to 7
      Dec 1, 2017 to Feb 19, 2018
    • Pension plan clients · unset to 1.0
      Dec 1, 2017 to Feb 19, 2018
    • Employees · 1 to 2
      Dec 1, 2017 to Feb 19, 2018
    • State-registered IARs · 0 to 1
      Dec 1, 2017 to Feb 19, 2018
    • HNW RAUM · $20.5M to $21.5M
      Dec 1, 2017 to Feb 19, 2018
    • Individual RAUM · $1.9M to $1.9M
      Dec 1, 2017 to Feb 19, 2018
    • Non-discretionary RAUM · $37.0M to $38.1M
      Dec 1, 2017 to Feb 19, 2018
    • RAUM · $37.0M to $38.1M
      Dec 1, 2017 to Feb 19, 2018
    • Accounts · 29 to 20
      Sep 11, 2017 to Dec 1, 2017
    • Advisory employees · 1 to 0
      Sep 11, 2017 to Dec 1, 2017
    • BD registered reps · 1 to 0
      Sep 11, 2017 to Dec 1, 2017
    • Charity clients · unset to 0.0
      Sep 11, 2017 to Dec 1, 2017
    • Corporate clients · unset to 0.0
      Sep 11, 2017 to Dec 1, 2017
    • HNW clients · unset to 12.0
      Sep 11, 2017 to Dec 1, 2017
    • Individual clients · unset to 8.0
      Sep 11, 2017 to Dec 1, 2017
    • Pooled vehicle clients · unset to 0.0
      Sep 11, 2017 to Dec 1, 2017
    • State-registered IARs · 1 to 0
      Sep 11, 2017 to Dec 1, 2017
    • Other offices · unset to 0.0
      Sep 11, 2017 to Dec 1, 2017
    • HNW RAUM · unset to 20476470.0
      Sep 11, 2017 to Dec 1, 2017
    • Individual RAUM · unset to 1859990.0
      Sep 11, 2017 to Dec 1, 2017
    • Non-discretionary RAUM · $43.6M to $37.0M
      Sep 11, 2017 to Dec 1, 2017
    • Pension RAUM · unset to 14697184.0
      Sep 11, 2017 to Dec 1, 2017
    • RAUM · $43.6M to $37.0M
      Sep 11, 2017 to Dec 1, 2017
    • Related adviser · false to true
      Sep 11, 2017 to Dec 1, 2017
    • Related broker-dealer · true to false
      Sep 11, 2017 to Dec 1, 2017
    • Insurance-licensed employees · 1 to 0
      Aug 25, 2017 to Sep 11, 2017
    • Related adviser · true to false
      Aug 25, 2017 to Sep 11, 2017
    • Related broker-dealer · false to true
      Aug 25, 2017 to Sep 11, 2017
    • Commission compensation · true to false
      Jun 26, 2017 to Aug 25, 2017
    • Employees · 2 to 1
      Jun 26, 2017 to Aug 25, 2017
    • Insurance-licensed employees · 0 to 1
      Jun 26, 2017 to Aug 25, 2017
    • HQ city · PHILADELPHIA to unset
      Jun 26, 2017 to Aug 25, 2017
    • HQ state · PA to unset
      Jun 26, 2017 to Aug 25, 2017
    • Non-discretionary RAUM · $79.5M to $43.6M
      Jun 26, 2017 to Aug 25, 2017
    • RAUM · $79.5M to $43.6M
      Jun 26, 2017 to Aug 25, 2017
    • Related adviser · false to true
      Jun 26, 2017 to Aug 25, 2017
    • Accounts · 32 to 29
      Mar 23, 2016 to Mar 28, 2017
    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.
    How to reach
    public business contact points only, each with its source
    Website
    P••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
    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
    $19.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026