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••••••••• S••••••••• L••

Former SEC-registered adviserYardley, PennsylvaniaCRD 108317SEC 801-58133IAPD
Latest filing Mar 31, 2015
First filing on the tape Apr 2, 2012 · 4 filings
RAUM
$38.1M
reported, Item 5.F
Discretionary
77%
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$38.1M as of Mar 31, 2015
Apr 2, 2012$36.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Apr 2, 20120 then
Employees (5.A)5 as of Mar 31, 2015
Apr 30, 20135 then
Private funds: no history
RAUM +3.3% over the last fiscal year+1.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2015; 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
$414,207derivedRAUM over accounts (5.F.2.f)
Discretionary
77%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+3.3%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • controlled by a public reporting company (10.A)
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
92reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• T•••••• N•••••• · Managing Member, Chief Compliance Officercontrol
    since 04/2003 · owns less than 5%
Entity owners
  • C••••••••• I••••••••• S••••••••• L•• · Owner
    direct · owns 50% to 75%
  • S••••• • B••••• C•••••• A•••• M••••••••• L•• · Owner
    direct · owns 25% to 50%
Related persons
Schedule D 7.A
Advisers that list C•• I••••••••• S••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Bala Cynwyd, PA
  • Doylestown, PA
  • Philadelphia, PA
What changed
consecutive filings, newest first
  • Accounts · 79 to 92
    Mar 28, 2014 to Mar 31, 2015
  • Discretionary RAUM · $29.6M to $29.3M
    Mar 28, 2014 to Mar 31, 2015
  • Non-discretionary RAUM · $7.3M to $8.8M
    Mar 28, 2014 to Mar 31, 2015
  • RAUM · $36.9M to $38.1M
    Mar 28, 2014 to Mar 31, 2015
  • Accounts · 84 to 79
    Apr 30, 2013 to Mar 28, 2014
  • Discretionary RAUM · $26.0M to $29.6M
    Apr 30, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $6.8M to $7.3M
    Apr 30, 2013 to Mar 28, 2014
  • RAUM · $32.7M to $36.9M
    Apr 30, 2013 to Mar 28, 2014
  • Accounts · 95 to 84
    Apr 2, 2012 to Apr 30, 2013
  • Advisory employees · unset to 5.0
    Apr 2, 2012 to Apr 30, 2013
  • Employees · unset to 5.0
    Apr 2, 2012 to Apr 30, 2013
  • Discretionary RAUM · $23.9M to $26.0M
    Apr 2, 2012 to Apr 30, 2013
  • Non-discretionary RAUM · $12.6M to $6.8M
    Apr 2, 2012 to Apr 30, 2013
  • RAUM · $36.4M to $32.7M
    Apr 2, 2012 to Apr 30, 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