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•••••••• L••
Latest filing Mar 20, 2015
First filing on the tape Feb 7, 2012 · 6 filings
RAUM
$139M
reported, Item 5.F
Discretionary
0.0%
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
6 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$139M as of Mar 20, 2015
Mar 23, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 20, 2015
Mar 15, 20135 then
Employees (5.A)8 as of Mar 20, 2015
Mar 15, 20138 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 2015; every figure names its basis
- RAUM per advisor
- $27.7MderivedRAUM 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
- $216,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, 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
- 639reported
- Financial planning clients
- 11-25reported
- 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
Left, latest
- L••••• M•••••• P••• to R•• P•••••• W•••••Feb 12, 2016 · Other
- C••••••••• A• Z••••• to R•• P•••••• W•••••Feb 12, 2016 · Other
- T••••• D•••• R•••••• to R•• P•••••• W•••••Feb 12, 2016 · Other
- J••••• S•••••• M••••••• to R•• P•••••• W•••••Feb 12, 2016 · Other
- M•••••• J••• H••••• to F•• S••••••••• C•••••••••Apr 1, 2010 · Other
- M•••••• R• L•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 3, 2008 · Other
- E•••••••• M••• G••••• M••••••••• to G••••• W••••• M••••••••• I•••Jan 19, 2007 · Other
Joined, latest
- M•••••• J••• H••••• from S•• I••••••••• M••••••••• C•••Sep 9, 2008 · Other
- M•••••• R• L•••••• from G••••• W••••• M••••••••• I•••Jan 3, 2007 · Other
- E•••••••• M••• G••••• M••••••••• from W••••• S••••• A••••••• I••Apr 3, 2002 · Other
- L••••• M•••••• P••• from W••••• S••••• A••••••• I••Apr 3, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for R•• P•••••• W•••••Feb 12, 2016 · Wyomissing, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S••••••••• A•• · Chief Operating Officer And Chief Compliance Officercontrolsince 01/2007 · owns less than 5%
- P•••• L•••••• M•••••• · Vice Presidentcontrolsince 01/2013 · owns less than 5%
- W••••••• J••• A••••• · Presidentcontrolsince 07/2011 · owns less than 5%
Entity owners
- R•••••• K•••• L••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- R•• P•••••• W•••••investment advisernRAUM $2.5B
- R•••••• K•••• L••••• F•••••••• S••••••• L••real estaten
- R•••••• K•••• L••••• L••insurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 555 to 639Mar 21, 2014 to Mar 20, 2015
- Employees · 7 to 8Mar 21, 2014 to Mar 20, 2015
- Financial planning clients · 1-10 to 11-25Mar 21, 2014 to Mar 20, 2015
- Non-discretionary RAUM · $121M to $139MMar 21, 2014 to Mar 20, 2015
- RAUM · $121M to $139MMar 21, 2014 to Mar 20, 2015
- Accounts · 499 to 555Apr 1, 2013 to Mar 21, 2014
- Employees · 8 to 7Apr 1, 2013 to Mar 21, 2014
- Non-discretionary RAUM · $105M to $121MApr 1, 2013 to Mar 21, 2014
- RAUM · $105M to $121MApr 1, 2013 to Mar 21, 2014
- Accounts · 515 to 499Mar 23, 2012 to Mar 15, 2013
- Advisory employees · unset to 6.0Mar 23, 2012 to Mar 15, 2013
- Employees · unset to 8.0Mar 23, 2012 to Mar 15, 2013
- State-registered IARs · unset to 5.0Mar 23, 2012 to Mar 15, 2013
- Non-discretionary RAUM · $102M to $105MMar 23, 2012 to Mar 15, 2013
- RAUM · $102M to $105MMar 23, 2012 to Mar 15, 2013
- Accounts · 570 to 515Feb 7, 2012 to Mar 23, 2012
- Advisory activities · 5 to 4Feb 7, 2012 to Mar 23, 2012
- Non-discretionary RAUM · $103M to $102MFeb 7, 2012 to Mar 23, 2012
- RAUM · $103M to $102MFeb 7, 2012 to Mar 23, 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