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
T•• W•••••• A••••••• G••••• L••
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$638M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$607M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$638M as of Mar 30, 2018
Mar 30, 2012$226M then
HNW client RAUM: $254M
State-registered IARs (5.B.3)11 as of Mar 30, 2018
Mar 28, 201313 then
Employees (5.A)12 as of Mar 30, 2018
Mar 28, 201314 then
Private funds: no history
RAUM +73% over the last fiscal year+9.7% a year over threeIARs 11 to 11
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $558,958derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +73%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $174MreportedItem 5.I
- 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
- Individuals$354M55%
- High-net-worth individuals$254M40%
- Charitable organizations$21.2M3.3%
- Corporations and businesses$5.0M0.8%
- Pension and profit-sharing plans$4.9M0.8%
- Individual clients
- 327reported
- HNW clients
- 130reported
- Pension plan clients
- 8reported
- Charitable clients
- 7reported
- Accounts
- 1,142reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- 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
- D•••• L•••• F••••••••• to C•••••••• F•••••••• P•••••••Dec 6, 2018 · Other
- M••• G• C••••• to F•• S••••••••• C•••••••••Jul 19, 2018 · Other
- S••••• R•••••• M••••••••• to C•••••••• F•••••••• P•••••••Jul 5, 2018 · Other
- A••••• W•••••• F••••• to C•••••••• F•••••••• P•••••••Jul 5, 2018 · Other
- F•••• K•••••• G••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Jul 5, 2018 · RIA to affiliated broker-dealer or bank
- J•••••• M••••••• F••••• to F•• S••••••••• C•••••••••Jul 5, 2018 · Other
- W••••••• R••• Y•••• to L•• F•••••••• L••Jul 5, 2018 · Other
- M••••• T••••• H••••••• to L•• F•••••••• L••Nov 24, 2015 · Other
- D••••• P•••••• Q•••• to O•••• F•• I•••Aug 19, 2010 · Other
Joined, latest
- M••••• T••••• H••••••• from M••••• S••••• W••••• M•••••••••May 23, 2012 · Other
- S••••• R•••••• M••••••••• from L•• F•••••••• L••Sep 1, 2011 · Other
- W••••••• R••• Y•••• from C•••••• S••••• • C••• I•••Nov 18, 2010 · Other
- J•••••• M••••••• F••••• from B•• F•••••••• S•••••••• L••May 29, 2006 · Other
- D•••• L•••• F••••••••• from F•• S••••••••• C•••••••••Nov 6, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••••• F•••••••• P•••••••Jul 5, 2018 · Wayne, Pa
- 2 left for F•• S••••••••• C•••••••••Jul 5, 2018 · Blue Bell, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M•••• G••••• · Membercontrolsince 02/2002 · owns 50% to 75%
- F••••••••• D••••• L•••• · Member; President & Chief Compliance Officercontrolsince 02/2002 · owns 50% to 75%
Related persons
Schedule D 7.A
- B•••••••• F••••• • K•••••••• L••insurancen
- C•••••••• F•••••••• P•••••••investment advisernRAUM $1.1B
Offices
Schedule D 1.F, the 25 largest
- Blue Bell, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 392 to 1,142Sep 29, 2017 to Mar 30, 2018
- Advisory employees · 15 to 12Sep 29, 2017 to Mar 30, 2018
- Charity clients · unset to 7.0Sep 29, 2017 to Mar 30, 2018
- Corporate clients · unset to 5.0Sep 29, 2017 to Mar 30, 2018
- HNW clients · unset to 130.0Sep 29, 2017 to Mar 30, 2018
- Individual clients · unset to 327.0Sep 29, 2017 to Mar 30, 2018
- Pension plan clients · unset to 8.0Sep 29, 2017 to Mar 30, 2018
- Employees · 15 to 12Sep 29, 2017 to Mar 30, 2018
- Insurance-licensed employees · 0 to 1Sep 29, 2017 to Mar 30, 2018
- Other offices · unset to 2.0Sep 29, 2017 to Mar 30, 2018
- Discretionary RAUM · $368M to $638MSep 29, 2017 to Mar 30, 2018
- HNW RAUM · unset to 253725629.0Sep 29, 2017 to Mar 30, 2018
- Individual RAUM · unset to 353568926.0Sep 29, 2017 to Mar 30, 2018
- Pension RAUM · unset to 4860166.0Sep 29, 2017 to Mar 30, 2018
- RAUM · $368M to $638MSep 29, 2017 to Mar 30, 2018
- Related adviser · false to trueSep 29, 2017 to Mar 30, 2018
- Wrap assets (manager) · unset to 0.0Sep 29, 2017 to Mar 30, 2018
- Wrap assets (sponsor) · unset to 0.0Sep 29, 2017 to Mar 30, 2018
- Accounts · 926 to 392Mar 30, 2016 to Mar 30, 2017
- Advisory employees · 12 to 15Mar 30, 2016 to Mar 30, 2017
- Discretionary RAUM · $301M to $368MMar 30, 2016 to Mar 30, 2017
- RAUM · $301M to $368MMar 30, 2016 to Mar 30, 2017
- Accounts · 1,413 to 926Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 14 to 12Mar 31, 2015 to Mar 30, 2016
- BD registered reps · 17 to 11Mar 31, 2015 to Mar 30, 2016
- Employees · 23 to 15Mar 31, 2015 to Mar 30, 2016
- State-registered IARs · 14 to 11Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $484M to $301MMar 31, 2015 to Mar 30, 2016
- RAUM · $484M to $301MMar 31, 2015 to Mar 30, 2016
- Accounts · 1,037 to 1,413Mar 26, 2014 to Mar 31, 2015
- Advisory employees · 13 to 14Mar 26, 2014 to Mar 31, 2015
- BD registered reps · 16 to 17Mar 26, 2014 to Mar 31, 2015
- Employees · 22 to 23Mar 26, 2014 to Mar 31, 2015
- State-registered IARs · 13 to 14Mar 26, 2014 to Mar 31, 2015
- Discretionary RAUM · $378M to $484MMar 26, 2014 to Mar 31, 2015
- RAUM · $378M to $484MMar 26, 2014 to Mar 31, 2015
- Accounts · 929 to 1,037Mar 28, 2013 to Mar 26, 2014
- Advisory employees · 14 to 13Mar 28, 2013 to Mar 26, 2014
- BD registered reps · 13 to 16Mar 28, 2013 to Mar 26, 2014
- Employees · 14 to 22Mar 28, 2013 to Mar 26, 2014
Signals
1 dated events
- T•• W•••••• A••••••• G••••• L•• reported RAUM $638.3M, up 73% from $368.1M (2017-09-29 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
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