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•••••••• A•••••••• L••

Former SEC-registered adviserMarlton, New JerseyCRD 109947SEC 801-58205IAPD
Latest filing Mar 27, 2015
First filing on the tape Mar 21, 2012 · 5 filings
RAUM
$210M
reported, Item 5.F
Discretionary
98%
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
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$210M as of Mar 27, 2015
Mar 21, 2012$198M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2015
Mar 21, 20120 then
Employees (5.A)8 as of Mar 27, 2015
Mar 22, 20139 then
Private funds: no history
RAUM -1.1% over the last fiscal year+2.1% a year over threeIARs 4 to 0
Practice profile
derived from the filing of Mar 27, 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
$352,175derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-1.1%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 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, 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
  • 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
597reported
Financial planning clients
101-250reported
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
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
      • M•••• M•••••••• J•••••• · Member/Chief Compliance Officercontrol
        since 03/2000 · owns 50% to 75%
      • S••••••• H••••• I•••• · Membercontrol
        since 03/2000 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Bala Cynwyd, PA
      What changed
      consecutive filings, newest first
      • Accounts · 569 to 597
        Apr 1, 2014 to Mar 27, 2015
      • Employees · 9 to 8
        Apr 1, 2014 to Mar 27, 2015
      • Financial planning clients · 51-100 to 101-250
        Apr 1, 2014 to Mar 27, 2015
      • State-registered IARs · 4 to 0
        Apr 1, 2014 to Mar 27, 2015
      • Discretionary RAUM · $204M to $205M
        Apr 1, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $9.0M to $4.9M
        Apr 1, 2014 to Mar 27, 2015
      • RAUM · $213M to $210M
        Apr 1, 2014 to Mar 27, 2015
      • Accounts · 485 to 569
        Mar 25, 2013 to Apr 1, 2014
      • Discretionary RAUM · $204M to $204M
        Mar 25, 2013 to Apr 1, 2014
      • Non-discretionary RAUM · $7.3M to $9.0M
        Mar 25, 2013 to Apr 1, 2014
      • RAUM · $211M to $213M
        Mar 25, 2013 to Apr 1, 2014
      • Accounts · 532 to 485
        Mar 21, 2012 to Mar 22, 2013
      • Advisory employees · unset to 4.0
        Mar 21, 2012 to Mar 22, 2013
      • Employees · unset to 9.0
        Mar 21, 2012 to Mar 22, 2013
      • State-registered IARs · 0 to 4
        Mar 21, 2012 to Mar 22, 2013
      • Discretionary RAUM · $195M to $204M
        Mar 21, 2012 to Mar 22, 2013
      • Non-discretionary RAUM · $3.0M to $7.3M
        Mar 21, 2012 to Mar 22, 2013
      • RAUM · $198M to $211M
        Mar 21, 2012 to Mar 22, 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