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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
P••••••• C•••••• M••••••••• C••••
Latest filing Feb 23, 2024
First filing on the tape Nov 16, 2011 · 22 filings
SEC status approved since Jul 25, 2019
RAUM
$313M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$304M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$313M as of Feb 23, 2024
Mar 30, 2012$54.2M then
HNW client RAUM$251M as of Feb 23, 2024
May 1, 2020$89.1M then
State-registered IARs (5.B.3)5 as of Feb 23, 2024
Mar 30, 20120 then
Employees (5.A)6 as of Feb 23, 2024
May 1, 20204 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 23, 2024; every figure names its basis
- RAUM per advisor
- $62.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $360,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- 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
- Custody
- $34.3M, 13 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$251M80%
- Individuals$53.1M17%
- Pension and profit-sharing plans$8.9M2.8%
- Individual clients
- 151reported
- HNW clients
- 92reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 868reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.3M for 13 clientsreported
- 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
- D•••• A•••• E•••• to W•••••• A•••••••• L••Feb 6, 2025 · RIA to RIA
- D••••• B••••• B•••• to W•••••• A•••••••• L••Feb 6, 2025 · RIA to RIA
- R•••••• W•••••• B••• to W•••••• A•••••••• L••Feb 6, 2025 · RIA to RIA
- P••• C•••• M•••••••• to B••• M••• T•••• A•••••••• L••Nov 21, 2024 · RIA to RIA
- J•• D•••• A•••••• to M•••••• I•••••••••Sep 20, 2024 · RIA to RIA
- C•••••••• B••••• S•••••••• to J••••• M••••••••• S•••• L••Feb 22, 2013 · Other
- F•••••• M•••••• M•••••• to M•• I•••••••• S•••••••• L••Dec 14, 2010 · Other
Joined, latest
- D•••• A•••• E•••• from T•• M••••••• F•••••••• G••••• I••Mar 31, 2021 · RIA to RIA
- P••• C•••• M•••••••• from S••••••• I••••••••• A••••••• L•••Nov 22, 2019 · RIA to RIA
- C•••••••• B••••• S•••••••• from L•• F•••••••• L••Jun 28, 2012 · Other
- F•••••• M•••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 10, 2010 · Other
- J•• D•••• A•••••• from M••••• S•••••• C•••••••••Jun 30, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for W•••••• A•••••••• L••Feb 6, 2025 · Paoli, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• R••••••• W•••••• · Shareholder, Chief Executive Officercontrolsince 02/2001 · owns 50% to 75%
- B••••• D•••••• B••••• · Shareholder, Chief Compliance Officercontrolsince 01/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Haddonfield, Nj | 0 | 0 | 0 | ||
| Paoli, Pa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Center Valley, PA1 employees
- Doylestown, PA1 employees
- Marlton, NJ1 employees
- Philadelphia, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 856 to 868Aug 22, 2023 to Feb 23, 2024
- HNW clients · 78 to 92Aug 22, 2023 to Feb 23, 2024
- Individual clients · 168 to 151Aug 22, 2023 to Feb 23, 2024
- Pension plan clients · 7 to 8Aug 22, 2023 to Feb 23, 2024
- Assets in custody · unset to 34278760.0Aug 22, 2023 to Feb 23, 2024
- Custody of client assets · false to trueAug 22, 2023 to Feb 23, 2024
- Discretionary RAUM · $273M to $313MAug 22, 2023 to Feb 23, 2024
- HNW RAUM · $210M to $251MAug 22, 2023 to Feb 23, 2024
- Individual RAUM · $51.4M to $53.1MAug 22, 2023 to Feb 23, 2024
- Pension RAUM · $12.1M to $8.9MAug 22, 2023 to Feb 23, 2024
- RAUM · $273M to $313MAug 22, 2023 to Feb 23, 2024
- HQ city · RADNOR to PAOLIMar 21, 2023 to Aug 11, 2023
- Accounts · 750 to 856Aug 2, 2022 to Mar 21, 2023
- Charity clients · 0.0 to unsetAug 2, 2022 to Mar 21, 2023
- Corporate clients · 0.0 to unsetAug 2, 2022 to Mar 21, 2023
- HNW clients · 83 to 78Aug 2, 2022 to Mar 21, 2023
- Individual clients · 161 to 168Aug 2, 2022 to Mar 21, 2023
- Pension plan clients · 5 to 7Aug 2, 2022 to Mar 21, 2023
- Pooled vehicle clients · 0.0 to unsetAug 2, 2022 to Mar 21, 2023
- Other offices · 3 to 4Aug 2, 2022 to Mar 21, 2023
- Discretionary RAUM · $269M to $273MAug 2, 2022 to Mar 21, 2023
- HNW RAUM · $206M to $210MAug 2, 2022 to Mar 21, 2023
- Individual RAUM · $49.7M to $51.4MAug 2, 2022 to Mar 21, 2023
- Pension RAUM · $13.6M to $12.1MAug 2, 2022 to Mar 21, 2023
- RAUM · $269M to $273MAug 2, 2022 to Mar 21, 2023
- HQ city · PHILADELPHIA to RADNORApr 21, 2022 to Aug 2, 2022
- Other offices · 4 to 3Apr 21, 2022 to Aug 2, 2022
- Accounts · 668 to 750Oct 26, 2021 to Mar 24, 2022
- Charity clients · unset to 0.0Oct 26, 2021 to Mar 24, 2022
- Corporate clients · unset to 0.0Oct 26, 2021 to Mar 24, 2022
- HNW clients · 64 to 83Oct 26, 2021 to Mar 24, 2022
- Individual clients · 162 to 161Oct 26, 2021 to Mar 24, 2022
- Pension plan clients · 6 to 5Oct 26, 2021 to Mar 24, 2022
- Pooled vehicle clients · unset to 0.0Oct 26, 2021 to Mar 24, 2022
- Employees · 5 to 6Oct 26, 2021 to Mar 24, 2022
- Financial planning clients · 51-100 to 101-250Oct 26, 2021 to Mar 24, 2022
- Discretionary RAUM · $190M to $269MOct 26, 2021 to Mar 24, 2022
- HNW RAUM · $130M to $206MOct 26, 2021 to Mar 24, 2022
- Individual RAUM · $42.2M to $49.7MOct 26, 2021 to Mar 24, 2022
- Pension RAUM · $7.7M to $13.6MOct 26, 2021 to Mar 24, 2022
Signals
8 dated events
- P••••••• C•••••• M••••••••• C•••• no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $313.3M)Mar 6, 2025 · Left the SEC roster · derived
- R•••••• W•••••• B••• left P••••••• C•••••• M••••••••• C•••• for W•••••• A•••••••• L•• (registered 2024-12-17)Feb 6, 2025 · Advisor changed firm · fact
- D•••• A•••• E•••• left P••••••• C•••••• M••••••••• C•••• for W•••••• A•••••••• L•• (registered 2024-12-16)Feb 6, 2025 · Advisor changed firm · fact
- D••••• B••••• B•••• left P••••••• C•••••• M••••••••• C•••• for W•••••• A•••••••• L•• (registered 2024-12-16)Feb 6, 2025 · Advisor changed firm · fact
- 2 advisors left P••••••• C•••••• M••••••••• C•••• (Paoli, PA) for W•••••• A•••••••• L•• on the same dayFeb 6, 2025 · Team lift-out · derived
- P••• C•••• M•••••••• left P••••••• C•••••• M••••••••• C•••• for B••• M••• T•••• A•••••••• L•• (registered 2025-01-30)Nov 21, 2024 · Advisor changed firm · fact
- J•• D•••• A•••••• left P••••••• C•••••• M••••••••• C•••• for M•••••• I••••••••• (registered 2024-09-23)Sep 20, 2024 · Advisor changed firm · fact
- P••••••• C•••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Jun 26, 2019 · First SEC registration · fact
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