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

N••••••• P••• C•••••• A•••••••

Former SEC-registered adviserDoylestown, PennsylvaniaCRD 112477SEC 801-57306IAPD
Legal name N••••••• P••• C•••••• A•••••••• I•••
Latest filing Mar 17, 2014
First filing on the tape Feb 8, 2012 · 3 filings
RAUM
$1.0B
reported, Item 5.F
Discretionary
33%
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
7
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$1.0B as of Mar 17, 2014
Feb 8, 2012$824M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2014
Mar 19, 20130 then
Employees (5.A)7 as of Mar 17, 2014
Mar 19, 20137 then
Private funds: no history
RAUM -0.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2014; 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
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
33%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-0.8%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, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • controlled by a public reporting company (10.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
812reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, commissionsreported
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E••••••••• H• A••••••• · Secretarycontrol
      since 01/2011 · owns less than 5%
    • L•••••• E•••• V••••• · Presidentcontrol
      since 02/2007 · owns less than 5%
    • L•••• R••••••• A•••• · Chief Financial Officercontrol
      since 01/2013 · owns less than 5%
    • K••••••• K••••• L• · Chief Compliance Officer
      since 09/2007 · owns less than 5%
    Entity owners
    • N••••••• P••• B••• · Parent Company
      direct · owns 75% or more
    • N••••••• P••• B••••••••• I•• · Holding Company
      indirect · owns 75% or more of N••••••• P••• B••• · public reporting company
    Related persons
    Schedule D 7.A
    • I••••••••• A••••••• L••
      investment advisernRAUM $1.2B
    • N••••••• P••• B•••
      y
    • N••••••• P••• I•••••••• S••••••• G••••• I•••
      real estaten
    • N••••••• P••• I•••••••• S••••••• G••••• I•••
      real estaten
    • N••••••• P••• I•••••••• S••••••• G••••• I•••
      real estaten
    • N••••••• P••• W••••• M••••••••• N•••
      n
    Offices
    Schedule D 1.F, the 25 largest
    • Souderton, PA
    • Yardley, PA
    What changed
    consecutive filings, newest first
    • Accounts · 840 to 812
      Mar 19, 2013 to Mar 17, 2014
    • Advisory employees · 5 to 6
      Mar 19, 2013 to Mar 17, 2014
    • Discretionary RAUM · $146M to $333M
      Mar 19, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $870M to $674M
      Mar 19, 2013 to Mar 17, 2014
    • RAUM · $1.0B to $1.0B
      Mar 19, 2013 to Mar 17, 2014
    • Accounts · 414 to 840
      Feb 8, 2012 to Mar 19, 2013
    • Advisory employees · unset to 5.0
      Feb 8, 2012 to Mar 19, 2013
    • BD registered reps · unset to 5.0
      Feb 8, 2012 to Mar 19, 2013
    • Employees · unset to 7.0
      Feb 8, 2012 to Mar 19, 2013
    • State-registered IARs · unset to 0.0
      Feb 8, 2012 to Mar 19, 2013
    • Discretionary RAUM · $142M to $146M
      Feb 8, 2012 to Mar 19, 2013
    • Non-discretionary RAUM · $683M to $870M
      Feb 8, 2012 to Mar 19, 2013
    • RAUM · $824M to $1.0B
      Feb 8, 2012 to Mar 19, 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