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

O•••••••• R••••••••• A•••••••• I•••

Former SEC-registered adviserMalvern, PennsylvaniaCRD 119848SEC 801-61459IAPD
Latest filing Mar 26, 2018
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$276M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$276M as of Mar 26, 2018
Mar 29, 2012$170M then
HNW client RAUM: $215M
State-registered IARs (5.B.3)6 as of Mar 26, 2018
Mar 29, 20120 then
Employees (5.A)10 as of Mar 26, 2018
Apr 1, 20137 then
Private funds: no history
RAUM +4.4% over the last fiscal year+6.2% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 26, 2018; every figure names its basis
RAUM per advisor
$46.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$227,264derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.4%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$215M78%
  • Individuals$61.0M22%
Individual clients
109reported
HNW clients
90reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,215reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • O•••••• J•••• R••• · Presidentcontrol
    since 07/2000 · owns 25% to 50%
  • O•••••• F••••••• C•••••• · Chairman/Chief Compliance Officercontrol
    since 07/2000 · owns 25% to 50%
  • O•••••• F••••••• C•••••• · Secretary/Treasurercontrol
    since 07/2000 · owns 25% to 50%
Related persons
Schedule D 7.A
  • F•••••• C• O•••••• J••
    y
  • O•••••••• T••• I•••
    insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,187 to 1,215
    Jul 17, 2017 to Mar 26, 2018
  • Charity clients · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • Corporate clients · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • HNW clients · unset to 90.0
    Jul 17, 2017 to Mar 26, 2018
  • Individual clients · unset to 109.0
    Jul 17, 2017 to Mar 26, 2018
  • Pension plan clients · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • Pooled vehicle clients · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • Employees · 11 to 10
    Jul 17, 2017 to Mar 26, 2018
  • Other offices · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • Discretionary RAUM · $264M to $276M
    Jul 17, 2017 to Mar 26, 2018
  • HNW RAUM · unset to 215144007.0
    Jul 17, 2017 to Mar 26, 2018
  • Individual RAUM · unset to 60981467.0
    Jul 17, 2017 to Mar 26, 2018
  • Pension RAUM · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Jul 17, 2017 to Mar 26, 2018
  • RAUM · $264M to $276M
    Jul 17, 2017 to Mar 26, 2018
  • Accounts · 1,009 to 1,187
    Mar 30, 2016 to Mar 28, 2017
  • Advisory employees · 4 to 6
    Mar 30, 2016 to Mar 28, 2017
  • Employees · 9 to 11
    Mar 30, 2016 to Mar 28, 2017
  • State-registered IARs · 5 to 6
    Mar 30, 2016 to Mar 28, 2017
  • Discretionary RAUM · $198M to $264M
    Mar 30, 2016 to Mar 28, 2017
  • RAUM · $198M to $264M
    Mar 30, 2016 to Mar 28, 2017
  • Accounts · 992 to 1,009
    Sep 11, 2015 to Mar 30, 2016
  • Advisory employees · 3 to 4
    Sep 11, 2015 to Mar 30, 2016
  • BD registered reps · 2 to 0
    Sep 11, 2015 to Mar 30, 2016
  • Business name · O•••••• O•••••• • O••••• A••••••• G••••• I••• to O•••••••• R••••••••• A•••••••• I•••
    Sep 11, 2015 to Mar 30, 2016
  • Employees · 7 to 9
    Sep 11, 2015 to Mar 30, 2016
  • Insurance-licensed employees · 4 to 0
    Sep 11, 2015 to Mar 30, 2016
  • State-registered IARs · 4 to 5
    Sep 11, 2015 to Mar 30, 2016
  • Discretionary RAUM · $230M to $198M
    Sep 11, 2015 to Mar 30, 2016
  • RAUM · $230M to $198M
    Sep 11, 2015 to Mar 30, 2016
  • Accounts · 974 to 992
    Dec 2, 2014 to Apr 2, 2015
  • Advisory employees · 4 to 3
    Dec 2, 2014 to Apr 2, 2015
  • Insurance-licensed employees · 0 to 4
    Dec 2, 2014 to Apr 2, 2015
  • Legal name · O•••••• O•••••• • O••••• A••••••• G••••• I••• to O•••••••• R••••••••• A•••••••• I•••
    Dec 2, 2014 to Apr 2, 2015
  • Discretionary RAUM · $217M to $230M
    Dec 2, 2014 to Apr 2, 2015
  • RAUM · $217M to $230M
    Dec 2, 2014 to Apr 2, 2015
  • Accounts · 954 to 974
    Apr 1, 2013 to Mar 31, 2014
  • Advisory employees · 2 to 4
    Apr 1, 2013 to Mar 31, 2014
  • State-registered IARs · 2 to 4
    Apr 1, 2013 to Mar 31, 2014
  • Discretionary RAUM · $190M to $217M
    Apr 1, 2013 to Mar 31, 2014
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