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

S•••• F•••••••• A••••••• I••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 110061SEC 801-35817IAPD
Latest filing Apr 1, 2017
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$38.2M
reported, Item 5.F
Discretionary
91%
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$362,000 gross assets
History
9 filings and snapshots on the tape
RAUM$38.2M as of Apr 1, 2017
Mar 29, 2012$33.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2017
Mar 27, 20130 then
Employees (5.A)3 as of Apr 1, 2017
Mar 27, 20133 then
Private funds1 as of Apr 1, 2017
Mar 31, 20151 then
RAUM -6.7% over the last fiscal year-5.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2017; 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
$748,294derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.7%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 fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, publications, educational seminarsreportedItem 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)
  • a related person has custody of client cash (9.B.1.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
51reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, 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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S•••••••• A••••• F••• I•Other Private Fund$362,00012Mar 31, 2015
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••••• J•••• A•••• · President And Chief Compliance Officercontrol
      since 04/1993 · owns 50% to 75%
    • S••••••• C••••••• K• · Secretary
      since 01/1996 · owns less than 5%
    • W•••••••• D••••• M•••••• · Board Member
      since 04/2003 · owns less than 5%
    Related persons
    Schedule D 7.A
    • A•••• P••••••
      n
    • S•••••••• A••••• G••••• L••
      pooled vehicle sponsorn
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 48 to 51
      Mar 28, 2016 to Apr 1, 2017
    • Discretionary RAUM · $36.4M to $34.7M
      Mar 28, 2016 to Apr 1, 2017
    • Non-discretionary RAUM · $4.5M to $3.5M
      Mar 28, 2016 to Apr 1, 2017
    • RAUM · $40.9M to $38.2M
      Mar 28, 2016 to Apr 1, 2017
    • Related adviser · true to false
      Mar 28, 2016 to Apr 1, 2017
    • Accounts · 65 to 48
      May 11, 2015 to Mar 28, 2016
    • Advisory activities · 8 to 7
      May 11, 2015 to Mar 28, 2016
    • Discretionary RAUM · $40.7M to $36.4M
      May 11, 2015 to Mar 28, 2016
    • Non-discretionary RAUM · $4.0M to $4.5M
      May 11, 2015 to Mar 28, 2016
    • RAUM · $44.7M to $40.9M
      May 11, 2015 to Mar 28, 2016
    • Accounts · 64 to 65
      Mar 25, 2014 to Mar 31, 2015
    • Advisory activities · 7 to 8
      Mar 25, 2014 to Mar 31, 2015
    • Private funds · unset to 1
      Mar 25, 2014 to Mar 31, 2015
    • Discretionary RAUM · $41.2M to $40.7M
      Mar 25, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $4.5M to $4.0M
      Mar 25, 2014 to Mar 31, 2015
    • RAUM · $45.7M to $44.7M
      Mar 25, 2014 to Mar 31, 2015
    • Accounts · 65 to 64
      Mar 27, 2013 to Mar 25, 2014
    • Discretionary RAUM · $36.1M to $41.2M
      Mar 27, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $5.8M to $4.5M
      Mar 27, 2013 to Mar 25, 2014
    • RAUM · $41.9M to $45.7M
      Mar 27, 2013 to Mar 25, 2014
    • Accounts · 44 to 65
      Mar 29, 2012 to Mar 27, 2013
    • Advisory employees · unset to 1.0
      Mar 29, 2012 to Mar 27, 2013
    • Employees · unset to 3.0
      Mar 29, 2012 to Mar 27, 2013
    • Financial planning clients · 1-10 to 11-25
      Mar 29, 2012 to Mar 27, 2013
    • State-registered IARs · unset to 0.0
      Mar 29, 2012 to Mar 27, 2013
    • Discretionary RAUM · $32.4M to $36.1M
      Mar 29, 2012 to Mar 27, 2013
    • Non-discretionary RAUM · $1.0M to $5.8M
      Mar 29, 2012 to Mar 27, 2013
    • RAUM · $33.4M to $41.9M
      Mar 29, 2012 to Mar 27, 2013
    • Related adviser · false to true
      Mar 29, 2012 to Mar 27, 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