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
M•••• F•••••••• P•••••••
Legal name V• I••••••••• S••••••• C••••
Latest filing May 12, 2020
First filing on the tape Dec 8, 2011 · 26 filings
RAUM
$242M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
32%
$76.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$242M as of Mar 26, 2020
Feb 22, 2013$107M then
HNW client RAUM$59.4M as of Mar 26, 2020
Feb 2, 2018$59.5M then
State-registered IARs (5.B.3)4 as of Mar 26, 2020
Feb 22, 20134 then
Employees (5.A)4 as of Mar 26, 2020
Feb 22, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+4.3% a year over threeIARs 5 to 4
Practice profile
derived from the filing of May 12, 2020; every figure names its basis
- RAUM per advisor
- $60.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$165M68%
- High-net-worth individuals$59.4M25%
- Individuals$17.2M7.1%
- Individual clients
- 76reported
- HNW clients
- 55reported
- Pension plan clients
- 26reported
- Charitable clients
- n/areported
- Accounts
- 208reported
- Financial planning clients
- 1-10reported
- 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
- S••• P• R••• to C••••• I••••••••• A••••••• L••Mar 9, 2021 · RIA to affiliated broker-dealer or bank
- S••••• M•••••• Z•••••••• to I•••••••• C•••••• A•••••••Mar 9, 2021 · Other
- L••• S•••• K••••• to C••••• I••••••••• A••••••• L••Mar 9, 2021 · RIA to affiliated broker-dealer or bank
- J••• C•••• H•••••• to I•••••••• C•••••• A•••••••Jul 7, 2009 · Other
- C••••••••• J••••• L••••• to L•••••• F•••••••• D••••••••• I•••Oct 5, 2007 · Other
- M•••••• C••••••••• to L•• F•••••••• L••Feb 3, 2005 · Other
Joined, latest
- S••• P• R••• from C••••• A•••••• N••••••• L••Dec 5, 2017 · Other
- L••• S•••• K••••• from I•••••••• C•••••• A•••••••Feb 12, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••• I••••••••• A••••••• L••Mar 9, 2021 · Elverson, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• M••••••• R••••• · Treasurer And Vice President, Tax & Financecontrolsince 06/2019 · owns less than 5%
- G•••••• J••••• M• · Directorcontrolsince 06/2019 · owns less than 5%
- K•••••• R•••••• B•••• · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- Z••••••••• S•••••• M•••••• · President/Secretarycontrolsince 05/2009 · owns less than 5%
Entity owners
- M•••• F•••••••• P•••••••• I•• · Parent Companydirect · owns 75% or more
- A•••• A•••••••• I•• · 100% Shareholderindirect · owns 75% or more of A•••• I••••• I••••••••• H••••••• I••• I••
- A•••• I••••• H••••••• I•• · 100% Shareholderindirect · owns 75% or more of A•••• I••••• I••••••••• H••••••• I• I••
- A•••• I••••• I••••••••• H••••••• I• I•• · 100% Shareholderindirect · owns 75% or more of A•••• I••••• I••••••••• H•••••••• I•• I••
- A•••• I••••• I••••••••• H••••••• I••• I•• · 100% Shareholderindirect · owns 75% or more of A••••••• H••••••• I••
- A•••• I••••• I••••••••• H•••••••• I•• I•• · 100% Shareholderindirect · owns 75% or more of A•••• A•••••••• I••
- A••••••• L•• · 100% Shareholderindirect · owns 75% or more of U••••• R••••••••• P••• C••••••••• I•••• D•••• F•••••••••
- A••••••• G••••• L•• · 100% Shareholderindirect · owns 75% or more of A••••••• L••
- A••••••• H••••••• I•• · 100% Shareholderindirect · owns 75% or more of A••••••• G••••• L••
- U••••• R••••••••• P••• C••••••••• I•••• D•••• F••••••••• · 100% Shareholderindirect · owns 75% or more of M•••• F•••••••• P•••••••• I••
Related persons
Schedule D 7.A
- A••••••• A•••••••• L••investment advisernRAUM $150M
- A••••••• I••••••••• L••broker-dealern
- A••••••• A••••••••• A••••••• L••investment advisernRAUM $561M
- A••••••• B••••• D••••• S•••••••• L••broker-dealern
- A••••••• I••••••••• A•••••••• L••investment advisernRAUM $13B
- A••••••• T•••• C••••••n
- H•••••••• I••••••••• S••••••• L••broker-dealern
- N••••• C••••••••• L••investment adviserLP sponsornRAUM $11.1M
- P•••••••• T•••• G••••• L••n
- S••••••••• F•••••••• I••••••••• S•••••••• I•••broker-dealern
- T•••••••• A•••••••• L•••broker-dealerinvestment adviserbankn
- V• F• A••••••••• I•• D•• M•••• F•••••••• P•••••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 202 to 208Jun 14, 2019 to Mar 26, 2020
- Advisory employees · 5 to 4Jun 14, 2019 to Mar 26, 2020
- BD registered reps · 5 to 4Jun 14, 2019 to Mar 26, 2020
- HNW clients · 54 to 55Jun 14, 2019 to Mar 26, 2020
- Individual clients · 72 to 76Jun 14, 2019 to Mar 26, 2020
- Employees · 5 to 4Jun 14, 2019 to Mar 26, 2020
- Insurance-licensed employees · 5 to 4Jun 14, 2019 to Mar 26, 2020
- State-registered IARs · 5 to 4Jun 14, 2019 to Mar 26, 2020
- HNW RAUM · $57.1M to $59.4MJun 14, 2019 to Mar 26, 2020
- Individual RAUM · $13.9M to $17.2MJun 14, 2019 to Mar 26, 2020
- Non-discretionary RAUM · $208M to $242MJun 14, 2019 to Mar 26, 2020
- Pension RAUM · $137M to $165MJun 14, 2019 to Mar 26, 2020
- RAUM · $208M to $242MJun 14, 2019 to Mar 26, 2020
- Related bank · false to trueJun 14, 2019 to Mar 26, 2020
- Related adviser · false to trueJan 16, 2019 to Jun 14, 2019
- Related broker-dealer · false to trueJan 16, 2019 to Jun 14, 2019
- Accounts · 196 to 202Nov 20, 2018 to Jan 16, 2019
- HNW clients · 56 to 54Nov 20, 2018 to Jan 16, 2019
- Individual clients · 69 to 72Nov 20, 2018 to Jan 16, 2019
- Pension plan clients · 25 to 26Nov 20, 2018 to Jan 16, 2019
- Financial planning clients · 11-25 to 1-10Nov 20, 2018 to Jan 16, 2019
- HNW RAUM · $59.5M to $57.1MNov 20, 2018 to Jan 16, 2019
- Individual RAUM · $15.3M to $13.9MNov 20, 2018 to Jan 16, 2019
- Non-discretionary RAUM · $224M to $208MNov 20, 2018 to Jan 16, 2019
- Pension RAUM · $149M to $137MNov 20, 2018 to Jan 16, 2019
- RAUM · $224M to $208MNov 20, 2018 to Jan 16, 2019
- Accounts · 199 to 196Jan 5, 2018 to Feb 2, 2018
- Advisory employees · 4 to 5Jan 5, 2018 to Feb 2, 2018
- BD registered reps · 4 to 5Jan 5, 2018 to Feb 2, 2018
- HNW clients · unset to 56.0Jan 5, 2018 to Feb 2, 2018
- Individual clients · unset to 69.0Jan 5, 2018 to Feb 2, 2018
- Pension plan clients · unset to 25.0Jan 5, 2018 to Feb 2, 2018
- Employees · 4 to 5Jan 5, 2018 to Feb 2, 2018
- Insurance-licensed employees · 4 to 5Jan 5, 2018 to Feb 2, 2018
- State-registered IARs · 4 to 5Jan 5, 2018 to Feb 2, 2018
- HNW RAUM · unset to 59505424.0Jan 5, 2018 to Feb 2, 2018
- Individual RAUM · unset to 15344684.0Jan 5, 2018 to Feb 2, 2018
- Non-discretionary RAUM · $213M to $224MJan 5, 2018 to Feb 2, 2018
- Pension RAUM · unset to 149283486.0Jan 5, 2018 to Feb 2, 2018
- RAUM · $213M to $224MJan 5, 2018 to Feb 2, 2018
Signals
3 dated events
- Robert Michael Folmer (Treasurer And Vice President, Tax & Finance) appeared on Schedule A of M•••• F•••••••• P•••••••Mar 26, 2020 · Control person joined · fact
- Barry Robert Kaplan (Chief Compliance Officer) appeared on Schedule A of M•••• F•••••••• P•••••••Jun 14, 2019 · Control person joined · fact
- M J•••• G••••• (Director) appeared on Schedule A of M•••• F•••••••• P•••••••Jun 14, 2019 · Control person joined · fact
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