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
C••••••••• I••••••••• S••••••••• L••
Latest filing Mar 31, 2015
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$444M
reported, Item 5.F
Discretionary
80%
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
11
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$444M as of Mar 31, 2015
Mar 30, 2012$345M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 31, 2015
Mar 30, 20120 then
Employees (5.A)11 as of Mar 31, 2015
Apr 1, 201312 then
Private funds: no history
RAUM +7.0% over the last fiscal year+8.8% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
- RAUM per advisor
- $111MderivedRAUM 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
- $377,306derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 80%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%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
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
- 1,177reported
- Financial planning clients
- 251-500reported
- 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
- R••••• M• V•••• to J•• W••••• A•••••••• L••Oct 13, 2015 · Other
- B•••••• J••••• G••••• to J•• W••••• A•••••••• L••Oct 13, 2015 · Other
- R••• C•••••• B•••••• to C•• I••••••••• S••••••••• L••Oct 13, 2015 · Other
- A•••••••• A•••• R•••••• to W••••• S••••• S••••••••• I•••Mar 7, 2006 · Other
- E••• T••• L••••• to E••••••• F•••••••• S•••••••• I•••Mar 7, 2006 · Other
- A•••••• J••• C•••••• to R••••• B•••• A•• C••••••• I•••Jul 21, 2003 · Other
Joined, latest
- R••• C•••••• B•••••• from V••••••• A•••••••• I•••Mar 29, 2007 · Other
- R••••• M• V•••• from V••••••• A•••••••• I•••May 24, 2006 · Other
- A•••••• J••• C•••••• from C•• I••••••••• S••••••••• L••Apr 11, 2003 · Other
- A•••••••• A•••• R•••••• from C•• I••••••••• S••••••••• L••Apr 11, 2003 · Other
- E••• T••• L••••• from C•• I••••••••• S••••••••• L••Apr 11, 2003 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for J•• W••••• A•••••••• L••Oct 13, 2015 · Yardley, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• T•••••• N•••••• · Managing Membercontrolsince 04/2003 · owns 25% to 50%
- B•••••••• B••••• H••••• · Membercontrolsince 04/2003 · owns 5% to 10%
- B••••• S•••••• A•••• · Managing Membercontrolsince 04/2003 · owns 5% to 10%
- P•••••• R•••••• N••• · Managing Membercontrolsince 04/2003 · owns 5% to 10%
- S••••• M•••• N•• · Managing Membercontrolsince 04/2003 · owns 5% to 10%
- B••••••• R•••••• J••••• · Membersince 04/2003 · owns 5% to 10%
- D•••••••• D••••• N•• · Membersince 04/2003 · owns 5% to 10%
- D••••••• R•••••• H•••••• · Membersince 04/2003 · owns 5% to 10%
- S••••••••• J•••• N•• · Membersince 04/2003 · owns 5% to 10%
Entity owners
- D••••••• M••• • W••••••• L•• · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C•• I••••••••• S••••••••• L••investment adviseryRAUM $38.1M
Advisers that list C••••••••• I••••••••• S••••••••• L•• as a related person
- 108317 y
Offices
Schedule D 1.F, the 25 largest
- Bala Cynwyd, PA
- Doylestown, PA
- North Brunswick, NJ
- Philadelphia, PA
What changed
consecutive filings, newest first
- Accounts · 1,054 to 1,177Mar 27, 2014 to Mar 31, 2015
- Advisory employees · 6 to 7Mar 27, 2014 to Mar 31, 2015
- Employees · 12 to 11Mar 27, 2014 to Mar 31, 2015
- State-registered IARs · 6 to 4Mar 27, 2014 to Mar 31, 2015
- Discretionary RAUM · $344M to $357MMar 27, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $71.3M to $86.8MMar 27, 2014 to Mar 31, 2015
- RAUM · $415M to $444MMar 27, 2014 to Mar 31, 2015
- Accounts · 948 to 1,054Apr 1, 2013 to Mar 27, 2014
- Advisory employees · 12 to 6Apr 1, 2013 to Mar 27, 2014
- State-registered IARs · 5 to 6Apr 1, 2013 to Mar 27, 2014
- Discretionary RAUM · $291M to $344MApr 1, 2013 to Mar 27, 2014
- Non-discretionary RAUM · $75.2M to $71.3MApr 1, 2013 to Mar 27, 2014
- RAUM · $366M to $415MApr 1, 2013 to Mar 27, 2014
- Accounts · 1,117 to 948Mar 30, 2012 to Apr 1, 2013
- Advisory employees · unset to 12.0Mar 30, 2012 to Apr 1, 2013
- Employees · unset to 12.0Mar 30, 2012 to Apr 1, 2013
- State-registered IARs · 0 to 5Mar 30, 2012 to Apr 1, 2013
- Discretionary RAUM · $276M to $291MMar 30, 2012 to Apr 1, 2013
- Non-discretionary RAUM · $68.9M to $75.2MMar 30, 2012 to Apr 1, 2013
- RAUM · $345M to $366MMar 30, 2012 to Apr 1, 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