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

H•••••• W••••• M••••••••• L•••••

Former SEC-registered adviserWyomissing, PennsylvaniaCRD 118114SEC 801-63116IAPD
Latest filing Mar 18, 2016
First filing on the tape Feb 7, 2012 · 10 filings
RAUM
$284M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$284M as of Mar 18, 2016
Feb 7, 2012$225M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 18, 2016
Feb 5, 20134 then
Employees (5.A)5 as of Mar 18, 2016
Feb 5, 20134 then
Private funds: no history
RAUM -1.4% over the last fiscal year+2.6% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Mar 18, 2016; every figure names its basis
RAUM per advisor
$56.8MderivedRAUM 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
$256,081derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.4%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 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
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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
1,109reported
Financial planning clients
101-250reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • M•••••••• J••••• A•••••• · Membercontrol
        since 01/2014 · owns less than 5%
      • M•••••• W••••••• A••••• · Presidentcontrol
        since 05/1999 · owns 25% to 50%
      • P••••• T•••••• J••• · Membercontrol
        since 05/1999 · owns 5% to 10%
      • R••••••••• C•••••• A•• · Partnercontrol
        since 01/2012 · owns 5% to 10%
      • W••••••••• J•••••• J• · Membercontrol
        since 01/2002 · owns 5% to 10%
      • W•••••• S••••• A•••• · Chief Compliance Officer And Membercontrol
        since 01/2014 · owns less than 5%
      • F•••••• R•••••• F• · Member
        since 01/2002 · owns 5% to 10%
      • G••••••• B••••• D• · Member
        since 01/2001 · owns 5% to 10%
      • H•••••••• L••••• S•• · Member
        since 05/1999 · owns 5% to 10%
      • R•••••• M••••••• J••••• · Member
        since 05/1999 · owns 5% to 10%
      • S••••••••• J••••• R•••• · Member
        since 01/2012 · owns less than 5%
      • S••••••••• D••••• W•••• · Member
        since 01/2014 · owns less than 5%
      • W•••• S•••••• M••• · Member
        since 01/2014 · owns less than 5%
      • W•••• D••••••• E•••••• · Member
        since 01/2014 · 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
      • Accounts · 1,080 to 1,109
        Feb 21, 2015 to Mar 18, 2016
      • Advisory employees · 4 to 5
        Feb 21, 2015 to Mar 18, 2016
      • Employees · 4 to 5
        Feb 21, 2015 to Mar 18, 2016
      • State-registered IARs · 4 to 5
        Feb 21, 2015 to Mar 18, 2016
      • Discretionary RAUM · $286M to $283M
        Feb 21, 2015 to Mar 18, 2016
      • Non-discretionary RAUM · $1.7M to $857,363
        Feb 21, 2015 to Mar 18, 2016
      • RAUM · $288M to $284M
        Feb 21, 2015 to Mar 18, 2016
      • Accounts · 1,062 to 1,080
        Jul 8, 2014 to Feb 21, 2015
      • Discretionary RAUM · $280M to $286M
        Jul 8, 2014 to Feb 21, 2015
      • Non-discretionary RAUM · $10.0M to $1.7M
        Jul 8, 2014 to Feb 21, 2015
      • RAUM · $290M to $288M
        Jul 8, 2014 to Feb 21, 2015
      • Accounts · 992 to 1,062
        Feb 5, 2013 to Feb 6, 2014
      • Discretionary RAUM · $226M to $280M
        Feb 5, 2013 to Feb 6, 2014
      • Non-discretionary RAUM · $37.0M to $10.0M
        Feb 5, 2013 to Feb 6, 2014
      • RAUM · $263M to $290M
        Feb 5, 2013 to Feb 6, 2014
      • Accounts · 928 to 992
        Jan 3, 2013 to Feb 5, 2013
      • Advisory activities · 6 to 5
        Jan 3, 2013 to Feb 5, 2013
      • Discretionary RAUM · $194M to $226M
        Jan 3, 2013 to Feb 5, 2013
      • Non-discretionary RAUM · $31.4M to $37.0M
        Jan 3, 2013 to Feb 5, 2013
      • RAUM · $225M to $263M
        Jan 3, 2013 to Feb 5, 2013
      • Advisory employees · unset to 4.0
        Oct 9, 2012 to Jan 3, 2013
      • Employees · unset to 4.0
        Oct 9, 2012 to Jan 3, 2013
      • State-registered IARs · unset to 4.0
        Oct 9, 2012 to Jan 3, 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