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
I•• R•••••• A••••••• I••
Latest filing Mar 1, 2017
First filing on the tape Mar 22, 2012 · 12 filings
RAUM
$164M
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
8
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$164M as of Mar 1, 2017
Mar 22, 2012$187M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 1, 2017
Mar 5, 201315 then
Employees (5.A)8 as of Mar 1, 2017
Mar 5, 201315 then
Private funds: no history
RAUM -2.5% over the last fiscal year-3.4% a year over threeIARs 9 to 8
Practice profile
derived from the filing of Mar 1, 2017; every figure names its basis
- RAUM per advisor
- $20.5MderivedRAUM 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
- $424,973derivedRAUM 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
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -11%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 advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- 386reported
- 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
Left, latest
- B•••• D•••• H•••••• to O•••• A••••••• S•••••••• L••Dec 31, 2017 · Other
- J••• J••••• I••••••••• to W••••• S••••• S••••••••• I•••Dec 31, 2017 · Other
- S•••••••• W•••• M••••••••• to A••••••• F•••••••• M••••••••• G••••• L•••Dec 31, 2017 · Other
- T•••••• E••••• F•••••• to S••••••• I••••••••• A••••••• L•••Oct 10, 2017 · Other
- E•••• S••••• T••••••• to A••••••• F•••••••• M••••••••• G••••• L•••Feb 22, 2017 · Other
- K•••••• R••••• S•••••••• to K••••• A••••••• S•••••••• L••Feb 22, 2017 · Other
- J••• W•••• C••••••• to A••••••• F•••••••• M••••••••• G••••• L•••Feb 22, 2017 · Other
- R••••• B•••• H••••••• to A••••••• F•••••••• M••••••••• G••••• L•••Sep 1, 2016 · Other
- K•••• F•••••••• H•••••• to A••••••• F•••••••• M••••••••• G••••• L•••Nov 6, 2014 · Other
- D•••• S•••• W••••• to G••••• F•••••••• P•••••• C••••••• I•••Oct 1, 2013 · Other
- J••• W•••••• T••••••• to A••••••• F•••••••• M••••••••• G••••• L•••Oct 1, 2013 · Other
- K•••••• D••• A••••••• to K••••• A••••••• S•••••••• L••Aug 12, 2010 · Other
- G••••• D•••• A•••••••• to K••••• A••••••• S•••••••• L••Aug 12, 2010 · Other
- M••••••• J••••••• B•••• to A••••••• F•••••••• M••••••••• G••••• L•••Aug 12, 2010 · Other
- P••••• J••• F•••• to W••••• S••••• A••••••• I••Apr 2, 2008 · Other
Joined, latest
- E•••• S••••• T••••••• from T•••• A•••••••• L••Mar 16, 2016 · Other
- B•••• D•••• H•••••• from A••••••• F•••••••• M••••••••• G••••• L•••Nov 16, 2012 · Other
- K•••• F•••••••• H•••••• from U•• F•••••••• S••••••• I•••Oct 12, 2011 · Other
- M••••••• J••••••• B•••• from C••••• I••••••••• S••••••• L••Jul 1, 2010 · Other
- R••••• B•••• H••••••• from W•••••• E••••• C•••••••••Feb 25, 2010 · Other
- K•••••• D••• A••••••• from A••••••• F•••••••• M••••••••• G••••• L•••Dec 31, 2001 · Other
- J••• J••••• I••••••••• from A••••••• F•••••••• M••••••••• G••••• L•••Sep 14, 1995 · Other
- T•••••• E••••• F•••••• from A••••••• F•••••••• M••••••••• G••••• L•••Jan 3, 1995 · Other
- P••••• J••• F•••• from A••••••• F•••••••• M••••••••• G••••• L•••Jan 3, 1995 · Other
- P•••• K••• H••••• from A••••••• F•••••••• M••••••••• G••••• L•••Jan 3, 1995 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A••••••• F•••••••• M••••••••• G••••• L•••Feb 22, 2017 · Mooresville, Nc
- 2 joined from A••••••• F•••••••• M••••••••• G••••• L•••Dec 31, 2018 · Berwyn, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J••••• W••••• · Chief Executive Officercontrolsince 09/1994 · owns 25% to 50%
- F••••••• T••••••• E••••• · Financial Consultantsince 09/1994 · owns 5% to 10%
- G•••••• K••••• M•••••• · Chief Investment Officersince 03/2014 · owns less than 5%
- G•••••• C••••• · Secretarysince 09/1994 · owns 5% to 10%
- R•••• R•••••• A•• · Chief Compliance Officersince 10/2004 · owns 5% to 10%
Related persons
Schedule D 7.A
- A••••••• F•••••••• M••••••••• G••••• L•••investment advisernRAUM $217M
Offices
Schedule D 1.F, the 25 largest
- Berwyn, PA
What changed
consecutive filings, newest first
- BD registered reps · 11 to 8Nov 16, 2016 to Mar 1, 2017
- Accounts · 440 to 386Nov 16, 2016 to Mar 1, 2017
- Advisory employees · 11 to 8Nov 16, 2016 to Mar 1, 2017
- Advisory activities · 5 to 3Nov 16, 2016 to Mar 1, 2017
- Employees · 13 to 8Nov 16, 2016 to Mar 1, 2017
- Insurance-licensed employees · 9 to 8Nov 16, 2016 to Mar 1, 2017
- State-registered IARs · 9 to 8Nov 16, 2016 to Mar 1, 2017
- Discretionary RAUM · $168M to $164MNov 16, 2016 to Mar 1, 2017
- RAUM · $168M to $164MNov 16, 2016 to Mar 1, 2017
- Accounts · 452 to 440Mar 12, 2015 to Mar 1, 2016
- Advisory employees · 13 to 11Mar 12, 2015 to Mar 1, 2016
- Advisory activities · 4 to 5Mar 12, 2015 to Mar 1, 2016
- BD registered reps · 13 to 11Mar 12, 2015 to Mar 1, 2016
- Insurance-licensed employees · 0 to 9Mar 12, 2015 to Mar 1, 2016
- State-registered IARs · 13 to 9Mar 12, 2015 to Mar 1, 2016
- Discretionary RAUM · $200M to $168MMar 12, 2015 to Mar 1, 2016
- RAUM · $200M to $168MMar 12, 2015 to Mar 1, 2016
- Accounts · 531 to 452Mar 25, 2014 to Mar 12, 2015
- BD registered reps · 12 to 13Mar 25, 2014 to Mar 12, 2015
- Insurance-licensed employees · 10 to 0Mar 25, 2014 to Mar 12, 2015
- Discretionary RAUM · $182M to $200MMar 25, 2014 to Mar 12, 2015
- RAUM · $182M to $200MMar 25, 2014 to Mar 12, 2015
- Accounts · 573 to 531Mar 25, 2014 to Mar 25, 2014
- Advisory employees · 15 to 13Mar 25, 2014 to Mar 25, 2014
- BD registered reps · 13 to 12Mar 25, 2014 to Mar 25, 2014
- Employees · 15 to 13Mar 25, 2014 to Mar 25, 2014
- State-registered IARs · 15 to 13Mar 25, 2014 to Mar 25, 2014
- Discretionary RAUM · $181M to $182MMar 25, 2014 to Mar 25, 2014
- RAUM · $181M to $182MMar 25, 2014 to Mar 25, 2014
- Accounts · 553 to 573Dec 10, 2012 to Mar 5, 2013
- Advisory employees · 14 to 15Dec 10, 2012 to Mar 5, 2013
- BD registered reps · 12 to 13Dec 10, 2012 to Mar 5, 2013
- Employees · 14 to 15Dec 10, 2012 to Mar 5, 2013
- Insurance-licensed employees · 9 to 10Dec 10, 2012 to Mar 5, 2013
- State-registered IARs · 14 to 15Dec 10, 2012 to Mar 5, 2013
- Discretionary RAUM · $187M to $181MDec 10, 2012 to Mar 5, 2013
- RAUM · $187M to $181MDec 10, 2012 to Mar 5, 2013
- Advisory employees · unset to 14.0Mar 22, 2012 to Dec 10, 2012
- BD registered reps · unset to 12.0Mar 22, 2012 to Dec 10, 2012
- Employees · unset to 14.0Mar 22, 2012 to Dec 10, 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