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

A••••• C••••• T••••••• W••••• A••••••• L••

Former SEC-registered adviserCharleston, West VirginiaCRD 119092SEC 801-64383IAPD
Latest filing Mar 23, 2018
First filing on the tape Mar 15, 2012 · 14 filings
RAUM
$361M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$314M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$361M as of Mar 23, 2018
Mar 15, 2012$177M then
HNW client RAUM: $253M
State-registered IARs (5.B.3)0 as of Mar 23, 2018
Mar 13, 20136 then
Employees (5.A)7 as of Mar 23, 2018
Mar 13, 20136 then
Private funds: no history
RAUM +23% over the last fiscal year+8.9% a year over threeIARs 9 to 0
Practice profile
derived from the filing of Mar 23, 2018; 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
$2.4MderivedHNW RAUM over HNW clients
Average account
$499,832derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-100%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
  • 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
  • High-net-worth individuals$253M70%
  • Individuals$60.8M17%
  • Charitable organizations$20.8M5.7%
  • Pension and profit-sharing plans$20.1M5.6%
  • Corporations and businesses$6.5M1.8%
Individual clients
197reported
HNW clients
105reported
Pension plan clients
8reported
Charitable clients
6reported
Accounts
723reported
Financial planning clients
0reported
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
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
    • H•••• D••••• D•••••• · Manager, Secretary & Treasurercontrol
      since 02/2016 · owns less than 5%
    • M•••••• C••••• S•••••• · Manager & Presidentcontrol
      since 08/2006 · owns less than 5%
    • O••••• N•••••••• J••• · Vice President & Chief Compliance Officercontrol
      since 02/2016 · owns less than 5%
    Entity owners
    • A• • F• F•••••••• H••••••• L•• · Holding Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • A• • F• I•••••••• A••••••• L••
      real estatey
    • A••••• C••••• T••••••• L••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • New Castle, PA2 employees
    What changed
    consecutive filings, newest first
    • Accounts · 726 to 723
      Jul 19, 2017 to Mar 23, 2018
    • Advisory employees · 9 to 6
      Jul 19, 2017 to Mar 23, 2018
    • BD registered reps · 0 to 6
      Jul 19, 2017 to Mar 23, 2018
    • Charity clients · unset to 6.0
      Jul 19, 2017 to Mar 23, 2018
    • Corporate clients · unset to 5.0
      Jul 19, 2017 to Mar 23, 2018
    • HNW clients · unset to 105.0
      Jul 19, 2017 to Mar 23, 2018
    • Individual clients · unset to 197.0
      Jul 19, 2017 to Mar 23, 2018
    • Pension plan clients · unset to 8.0
      Jul 19, 2017 to Mar 23, 2018
    • Employees · 10 to 7
      Jul 19, 2017 to Mar 23, 2018
    • Financial planning clients · 1-10 to 0
      Jul 19, 2017 to Mar 23, 2018
    • State-registered IARs · 9 to 0
      Jul 19, 2017 to Mar 23, 2018
    • Other offices · unset to 1.0
      Jul 19, 2017 to Mar 23, 2018
    • Discretionary RAUM · $295M to $361M
      Jul 19, 2017 to Mar 23, 2018
    • HNW RAUM · unset to 253211345.0
      Jul 19, 2017 to Mar 23, 2018
    • Individual RAUM · unset to 60783771.0
      Jul 19, 2017 to Mar 23, 2018
    • Pension RAUM · unset to 20123565.0
      Jul 19, 2017 to Mar 23, 2018
    • RAUM · $295M to $361M
      Jul 19, 2017 to Mar 23, 2018
    • Accounts · 679 to 726
      Mar 22, 2016 to Mar 29, 2017
    • Advisory employees · 10 to 9
      Mar 22, 2016 to Mar 29, 2017
    • State-registered IARs · 10 to 9
      Mar 22, 2016 to Mar 29, 2017
    • Discretionary RAUM · $280M to $295M
      Mar 22, 2016 to Mar 29, 2017
    • RAUM · $280M to $295M
      Mar 22, 2016 to Mar 29, 2017
    • Accounts · 628 to 679
      Mar 9, 2015 to Mar 22, 2016
    • Advisory employees · 9 to 10
      Mar 9, 2015 to Mar 22, 2016
    • State-registered IARs · 9 to 10
      Mar 9, 2015 to Mar 22, 2016
    • Discretionary RAUM · $280M to $280M
      Mar 9, 2015 to Mar 22, 2016
    • RAUM · $280M to $280M
      Mar 9, 2015 to Mar 22, 2016
    • Accounts · 495 to 628
      Jan 5, 2015 to Mar 9, 2015
    • Advisory employees · 6 to 9
      Jan 5, 2015 to Mar 9, 2015
    • Employees · 7 to 10
      Jan 5, 2015 to Mar 9, 2015
    • State-registered IARs · 6 to 9
      Jan 5, 2015 to Mar 9, 2015
    • Discretionary RAUM · $231M to $280M
      Jan 5, 2015 to Mar 9, 2015
    • RAUM · $231M to $280M
      Jan 5, 2015 to Mar 9, 2015
    • Business name · A•• F•••••••• A••••••• L•• to A••••• C••••• T••••••• W••••• A••••••• L••
      Mar 9, 2015 to Mar 9, 2015
    • Legal name · A•• F•••••••• A••••••• L•• to A••••• C••••• T••••••• W••••• A••••••• L••
      Mar 9, 2015 to Mar 9, 2015
    • Accounts · 504 to 495
      Sep 24, 2013 to Mar 13, 2014
    • Employees · 6 to 7
      Sep 24, 2013 to Mar 13, 2014
    • Discretionary RAUM · $190M to $231M
      Sep 24, 2013 to Mar 13, 2014
    • RAUM · $190M to $231M
      Sep 24, 2013 to Mar 13, 2014
    • Accounts · 520 to 504
      Jul 11, 2012 to Mar 13, 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