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P••••••••• I••••••••• A••••••• L•

Former SEC-registered adviserFormer SEC adviser1 private funds· P•••••••••, Pennsylvania

Former SEC-registered adviser, based in P•••••••••, Pennsylvania, reporting $1.7B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.7B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-39%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 116449 · SEC 801-60785 · 7 filingsShow
CRD 116449SEC 801-60785First filing on the tape Apr 3, 2012, latest Mar 24, 2015IAPD
RAUM
$1.7B
reported, Item 5.F
Discretionary
86%
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
29
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$158M gross assets
History
7 filings and snapshots on the tape
RAUM$1.7B as of Mar 24, 2015
Apr 3, 2012$3.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 24, 2015
Mar 21, 20131 then
Employees (5.A)29 as of Mar 24, 2015
Mar 21, 201334 then
Private funds1 as of Mar 24, 2015
Apr 3, 20121 then
RAUM -39% over the last fiscal year-23% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2015; every figure names its basis
RAUM per advisor
$1.7BderivedRAUM 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
$3.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
86%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
29.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-39%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 institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$158M, 7 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • an independent public accountant performs a surprise examination (9.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
555reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$158M for 7 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•••••• I••••••••• F•••• L•Other Private Fund$158M7Apr 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • W•••••••• A•••••• B•••• · Presidentcontrol
        since 01/2002 · owns less than 5%
      • W•••••••• A•••••• B•••• · Limited Partnercontrol
        since 09/2001 · owns 25% to 50% of P••••••••• I••••••••• P••••••• L•
      • W•••••••• A•••••• B•••• · Sole Membercontrol
        since 09/2001 · owns F of A• W••••••• C•••••• L••
      • L•••• A••• L•• · Director Of Finance & Human Resoucres
        since 12/2006 · owns less than 5%
      • W•••••• K•••• E• · Chief Compliance Officer
        since 01/2002 · owns less than 5%
      Entity owners
      • P••••••••• I••••••••• P••••••• L• · General Partner
        direct · owns 75% or more
      • A• W••••••• C•••••• L•• · General Partner
        indirect · owns F of P••••••••• I••••••••• P••••••• L•
      • T•• G••••••• C••••••••• · Sole Shareholder
        indirect · owns 75% or more of T•• G••••••• T•••• C••••••
      • T•• G••••••• T•••• C••••••• N• · Limited Partner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • B•••••• I••••••••• P•••••••• L••
        pooled vehicle sponsory
      • T•• G••••••• T•••• C••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 877 to 555
        Mar 17, 2014 to Mar 24, 2015
      • BD registered reps · 0 to 1
        Mar 17, 2014 to Mar 24, 2015
      • Assets in custody · $233M to $158M
        Mar 17, 2014 to Mar 24, 2015
      • Employees · 30 to 29
        Mar 17, 2014 to Mar 24, 2015
      • Discretionary RAUM · $2.4B to $1.5B
        Mar 17, 2014 to Mar 24, 2015
      • Non-discretionary RAUM · $368M to $233M
        Mar 17, 2014 to Mar 24, 2015
      • RAUM · $2.8B to $1.7B
        Mar 17, 2014 to Mar 24, 2015
      • Accounts · 1,244 to 877
        Jul 9, 2013 to Mar 17, 2014
      • Assets in custody · $296M to $233M
        Jul 9, 2013 to Mar 17, 2014
      • Employees · 34 to 30
        Jul 9, 2013 to Mar 17, 2014
      • Discretionary RAUM · $3.4B to $2.4B
        Jul 9, 2013 to Mar 17, 2014
      • Non-discretionary RAUM · $401M to $368M
        Jul 9, 2013 to Mar 17, 2014
      • RAUM · $3.8B to $2.8B
        Jul 9, 2013 to Mar 17, 2014
      • Accounts · 1,767 to 1,244
        Apr 18, 2012 to Mar 21, 2013
      • Advisory employees · unset to 10.0
        Apr 18, 2012 to Mar 21, 2013
      • Assets in custody · $281M to $296M
        Apr 18, 2012 to Mar 21, 2013
      • Employees · unset to 34.0
        Apr 18, 2012 to Mar 21, 2013
      • State-registered IARs · unset to 1.0
        Apr 18, 2012 to Mar 21, 2013
      • Discretionary RAUM · $3.6B to $3.4B
        Apr 18, 2012 to Mar 21, 2013
      • Non-discretionary RAUM · $169M to $401M
        Apr 18, 2012 to Mar 21, 2013
      • RAUM · $3.8B to $3.8B
        Apr 18, 2012 to Mar 21, 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