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Former SEC-registered adviserFormer SEC adviser· Berwyn, Pennsylvania

Former SEC-registered adviser, based in Berwyn, Pennsylvania, reporting $442M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$442M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+16%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $440M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 124397 · SEC 801-116705 · 16 filingsShow
CRD 124397SEC 801-116705First filing on the tape Apr 29, 2019, latest Sep 20, 2024SEC status approved since May 28, 2019IAPD
RAUM
$442M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$440M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$442M as of Mar 20, 2024
Mar 26, 2020$296M then
HNW client RAUM$391M as of Mar 20, 2024
Mar 26, 2020$252M then
State-registered IARs (5.B.3)0 as of Mar 20, 2024
Mar 26, 20202 then
Employees (5.A)4 as of Mar 20, 2024
Mar 26, 20206 then
Private funds: no history
RAUM +16% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 20, 2024; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$416,867derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+8.5%derived
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 advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$391M88%
  • Individuals$49.5M11%
  • Pension and profit-sharing plans$1.5M0.3%
  • Corporations and businesses$50,1780.0%
Individual clients
150reported
HNW clients
158reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
1,060reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • J••••••• R••••• E•••••••• · Principal/Chief Compliance Officercontrol
    since 02/2010 · owns 25% to 50%
  • J••••••• R••••• E•••••••• · Trusteecontrol
    since 08/2024 · owns F of T•• B••••••••• O••••••••• T••••
Entity owners
  • T•• B••••••••• O••••••••• T•••• · Owner
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Berwyn, Pa · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 968 to 1,060
    Mar 31, 2023 to Mar 20, 2024
  • Corporate clients · 2 to 1
    Mar 31, 2023 to Mar 20, 2024
  • HNW clients · 178 to 158
    Mar 31, 2023 to Mar 20, 2024
  • Individual clients · 106 to 150
    Mar 31, 2023 to Mar 20, 2024
  • Discretionary RAUM · $382M to $442M
    Mar 31, 2023 to Mar 20, 2024
  • HNW RAUM · $360M to $391M
    Mar 31, 2023 to Mar 20, 2024
  • Individual RAUM · $20.9M to $49.5M
    Mar 31, 2023 to Mar 20, 2024
  • Pension RAUM · $1.7M to $1.5M
    Mar 31, 2023 to Mar 20, 2024
  • RAUM · $382M to $442M
    Mar 31, 2023 to Mar 20, 2024
  • Accounts · 854 to 968
    Oct 5, 2022 to Mar 31, 2023
  • Advisory employees · 1 to 3
    Oct 5, 2022 to Mar 31, 2023
  • BD registered reps · 1 to 0
    Oct 5, 2022 to Mar 31, 2023
  • Corporate clients · 3 to 2
    Oct 5, 2022 to Mar 31, 2023
  • HNW clients · 123 to 178
    Oct 5, 2022 to Mar 31, 2023
  • Individual clients · 140 to 106
    Oct 5, 2022 to Mar 31, 2023
  • Employees · 5 to 4
    Oct 5, 2022 to Mar 31, 2023
  • State-registered IARs · 1 to 0
    Oct 5, 2022 to Mar 31, 2023
  • Other offices · 1 to 0
    Oct 5, 2022 to Mar 31, 2023
  • Discretionary RAUM · $425M to $382M
    Oct 5, 2022 to Mar 31, 2023
  • HNW RAUM · $374M to $360M
    Oct 5, 2022 to Mar 31, 2023
  • Individual RAUM · $47.4M to $20.9M
    Oct 5, 2022 to Mar 31, 2023
  • Pension RAUM · $3.6M to $1.7M
    Oct 5, 2022 to Mar 31, 2023
  • RAUM · $425M to $382M
    Oct 5, 2022 to Mar 31, 2023
  • Accounts · 743 to 854
    Mar 19, 2021 to Mar 30, 2022
  • Advisory employees · 3 to 1
    Mar 19, 2021 to Mar 30, 2022
  • Corporate clients · 0 to 3
    Mar 19, 2021 to Mar 30, 2022
  • HNW clients · 115 to 123
    Mar 19, 2021 to Mar 30, 2022
  • Individual clients · 138 to 140
    Mar 19, 2021 to Mar 30, 2022
  • Pension plan clients · 0 to 3
    Mar 19, 2021 to Mar 30, 2022
  • Employees · 4 to 5
    Mar 19, 2021 to Mar 30, 2022
  • Discretionary RAUM · $323M to $425M
    Mar 19, 2021 to Mar 30, 2022
  • HNW RAUM · $282M to $374M
    Mar 19, 2021 to Mar 30, 2022
  • Individual RAUM · $41.7M to $47.4M
    Mar 19, 2021 to Mar 30, 2022
  • Non-discretionary RAUM · $750,420 to $0
    Mar 19, 2021 to Mar 30, 2022
  • Pension RAUM · $0 to $3.6M
    Mar 19, 2021 to Mar 30, 2022
  • RAUM · $324M to $425M
    Mar 19, 2021 to Mar 30, 2022
  • Accounts · 659 to 743
    Sep 17, 2020 to Mar 19, 2021
  • Corporate clients · 1 to 0
    Sep 17, 2020 to Mar 19, 2021
  • HNW clients · 98 to 115
    Sep 17, 2020 to Mar 19, 2021
  • Individual clients · 109 to 138
    Sep 17, 2020 to Mar 19, 2021
Signals
5 dated events
  • ••• Locked
    Feb 3, 2025 · Left the SEC roster · derived
  • ••• Locked
    Jan 2, 2025 · Advisor changed firm · fact
  • ••• Locked
    Mar 30, 2022 · RAUM change · derived
  • ••• Locked
    Mar 26, 2020 · RAUM change · derived
  • ••• Locked
    Apr 29, 2019 · First SEC registration · 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