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••• L••• F•••••••• A•••••••• L•••

Former SEC-registered adviserMalvern, PennsylvaniaCRD 121583SEC 801-68909IAPD
Latest filing Mar 12, 2018
First filing on the tape Jan 28, 2012 · 11 filings
RAUM
$10.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$10.5M as of Mar 12, 2018
Jan 28, 2012$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 12, 2018
Jan 28, 20120 then
Employees (5.A)1 as of Mar 12, 2018
Mar 27, 20137 then
Private funds: no history
RAUM -96% over the last fiscal year-65% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 12, 2018; every figure names its basis
RAUM per advisor
$10.5MderivedRAUM 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
$168,680derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-96%derivedbetween the last two annual amendments
Advisor growth, one year
-50%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 consultingreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$10.5M100%
Individual clients
36reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
62reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••••• A•••••• F•••••• · Managing Partnercontrol
    since 01/1996 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 724 to 62
    Dec 5, 2017 to Mar 12, 2018
  • Advisory employees · 2 to 1
    Dec 5, 2017 to Mar 12, 2018
  • BD registered reps · 2 to 1
    Dec 5, 2017 to Mar 12, 2018
  • Individual clients · unset to 36.0
    Dec 5, 2017 to Mar 12, 2018
  • Employees · 6 to 1
    Dec 5, 2017 to Mar 12, 2018
  • Financial planning clients · 251-500 to 1-10
    Dec 5, 2017 to Mar 12, 2018
  • HQ city · POTTSTOWN to MALVERN
    Dec 5, 2017 to Mar 12, 2018
  • State-registered IARs · 2 to 1
    Dec 5, 2017 to Mar 12, 2018
  • Discretionary RAUM · $194M to $10.5M
    Dec 5, 2017 to Mar 12, 2018
  • Individual RAUM · unset to 10458147.0
    Dec 5, 2017 to Mar 12, 2018
  • Non-discretionary RAUM · $86.9M to $0
    Dec 5, 2017 to Mar 12, 2018
  • RAUM · $281M to $10.5M
    Dec 5, 2017 to Mar 12, 2018
  • Related adviser · false to true
    Dec 5, 2017 to Mar 12, 2018
  • Related insurance company · true to false
    Dec 5, 2017 to Mar 12, 2018
  • Other offices · unset to 0.0
    Mar 9, 2017 to Dec 5, 2017
  • Accounts · 754 to 724
    Oct 11, 2016 to Mar 9, 2017
  • Advisory employees · 3 to 2
    Oct 11, 2016 to Mar 9, 2017
  • BD registered reps · 3 to 2
    Oct 11, 2016 to Mar 9, 2017
  • Employees · 8 to 6
    Oct 11, 2016 to Mar 9, 2017
  • Insurance-licensed employees · 3 to 1
    Oct 11, 2016 to Mar 9, 2017
  • State-registered IARs · 3 to 2
    Oct 11, 2016 to Mar 9, 2017
  • Discretionary RAUM · $189M to $194M
    Oct 11, 2016 to Mar 9, 2017
  • Non-discretionary RAUM · $36.4M to $86.9M
    Oct 11, 2016 to Mar 9, 2017
  • RAUM · $226M to $281M
    Oct 11, 2016 to Mar 9, 2017
  • Accounts · 757 to 754
    Mar 27, 2015 to Feb 25, 2016
  • Discretionary RAUM · $205M to $189M
    Mar 27, 2015 to Feb 25, 2016
  • Non-discretionary RAUM · $41.0M to $36.4M
    Mar 27, 2015 to Feb 25, 2016
  • RAUM · $246M to $226M
    Mar 27, 2015 to Feb 25, 2016
  • Accounts · 808 to 757
    Oct 17, 2014 to Mar 27, 2015
  • Advisory employees · 6 to 3
    Oct 17, 2014 to Mar 27, 2015
  • BD registered reps · 6 to 3
    Oct 17, 2014 to Mar 27, 2015
  • Employees · 7 to 8
    Oct 17, 2014 to Mar 27, 2015
  • State-registered IARs · 6 to 3
    Oct 17, 2014 to Mar 27, 2015
  • Discretionary RAUM · $187M to $205M
    Oct 17, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $36.6M to $41.0M
    Oct 17, 2014 to Mar 27, 2015
  • RAUM · $223M to $246M
    Oct 17, 2014 to Mar 27, 2015
  • Accounts · 807 to 808
    Mar 27, 2013 to Mar 26, 2014
  • Discretionary RAUM · $171M to $187M
    Mar 27, 2013 to Mar 26, 2014
  • Non-discretionary RAUM · $135M to $36.6M
    Mar 27, 2013 to Mar 26, 2014
  • RAUM · $306M to $223M
    Mar 27, 2013 to Mar 26, 2014
Signals
1 dated events
  • M••• L••• F•••••••• A•••••••• L••• reported RAUM $10.5M, down 96% from $281.4M (2017-12-05 to 2018-03-12)
    Mar 12, 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