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Former SEC-registered adviser

E•••••••••

Former SEC-registered adviserPaoli, PennsylvaniaCRD 110123SEC 801-58092IAPD
Latest filing Apr 14, 2014
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$667,265
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
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$10.0M as of Mar 19, 2014
Mar 28, 2012$700,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 19, 2014
Feb 25, 20131 then
Employees (5.A)3 as of Mar 19, 2014
Feb 25, 20133 then
Private funds: no history
RAUM -93% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Apr 14, 2014; every figure names its basis
RAUM per advisor
$667,265derivedRAUM 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
$333,633derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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 individuals, portfolio management for businesses and institutionsreportedItem 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)
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
2reported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• P••••• A••••• · President, Ceo, Director, Chief Compliance Officercontrol
        since 08/2000 · owns 75% or more
      • E•••••• T••••••• M••••••• · Chief Admin. Offcr., Sec., Treas., Dir.control
        since 08/2000 · owns less than 5%
      • W•••••• T••••• E•••••••• · Vp, Dir., Chief Inf. Officercontrol
        since 08/2000 · owns less than 5%
      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
      • Discretionary RAUM · $617,735 to $667,265
        Mar 20, 2014 to Apr 11, 2014
      • RAUM · $617,735 to $667,265
        Mar 20, 2014 to Apr 11, 2014
      • Discretionary RAUM · $10.0M to $617,735
        Mar 19, 2014 to Mar 20, 2014
      • RAUM · $10.0M to $617,735
        Mar 19, 2014 to Mar 20, 2014
      • Advisory employees · unset to 1.0
        Mar 28, 2012 to Feb 25, 2013
      • Employees · unset to 3.0
        Mar 28, 2012 to Feb 25, 2013
      • State-registered IARs · unset to 1.0
        Mar 28, 2012 to Feb 25, 2013
      • Discretionary RAUM · $700,000 to $10.0M
        Mar 28, 2012 to Feb 25, 2013
      • RAUM · $700,000 to $10.0M
        Mar 28, 2012 to Feb 25, 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