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M••••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $54.2M of regulatory assets across 1 registered advisors.

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

As of 2025-06-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $54.2M
Advisors: 1
Net advisor flow, 12 months: +1 (1 in, 0 out)
RAUM change, last fiscal year: +2.0%
Private clients: 26% of RAUM, $14.2M

Advisors (1)Advisor movement Where the RAUM sits

As of 2025-06-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 26 Form ADV filings for this adviser, the latest 15 months ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 127562 · SEC 801-62217 · 26 filingsShow

CRD 127562SEC 801-62217First filing on the tape Mar 20, 2012, latest Jun 23, 2025SEC status approved since Jul 14, 2003IAPD

RAUM

$54.2M

reported, Item 5.F

Discretionary

12%

of RAUM

Private clients

26%

$14.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$54.2M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$54.2M as of Jun 23, 2025

Mar 24, 2017$1.3B then

HNW client RAUM$11.0M as of Jun 23, 2025

Mar 23, 2018$4.7M then

State-registered IARs (5.B.3)1 as of Jun 23, 2025

Feb 22, 20130 then

Employees (5.A)1 as of Jun 23, 2025

Feb 22, 20135 then

Private funds: no history

RAUM +2.0% over the last fiscal year-67% a year over threeIARs 0 to 1

Practice profile

derived from the filing of Jun 23, 2025; every figure names its basis

RAUM per advisor: $54.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 12derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.5MderivedHNW RAUM over HNW clients
Average account: $3.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 12%derivedof RAUM
Institutional: 74%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: +2.0%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

State and municipal entities$36.0M66%
High-net-worth individuals$11.0M20%
Charitable organizations$4.0M7.4%
Individuals$3.2M5.8%

Individual clients: 10reported
HNW clients: 2reported
Pension plan clients: n/areported
Charitable clients: 1reported
Accounts: 15reported
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

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
F•••• R••••• B•••••••	Pittsburgh, Pa	Oct 28, 2025	40 y	1

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

F•••• R••••• B••••••• from G••••••• I••••••••• A•••• M•••••••••
Oct 28, 2025 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••••• F••••• R••••• · Principal & Chief Compliance Officercontrol
since 06/2002 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 1-10 to 1-10
May 30, 2025 to Jun 23, 2025
Advisory activities · 5 to 4
Apr 15, 2025 to May 30, 2025
Accounts · 10 to 15
Mar 26, 2024 to Apr 15, 2025
Charity clients · unset to 1.0
Mar 26, 2024 to Apr 15, 2025
Corporate clients · 1.0 to unset
Mar 26, 2024 to Apr 15, 2025
HNW clients · 7 to 2
Mar 26, 2024 to Apr 15, 2025
Individual clients · unset to 10.0
Mar 26, 2024 to Apr 15, 2025
HQ city · unset to
Mar 26, 2024 to Apr 15, 2025
HQ state · unset to
Mar 26, 2024 to Apr 15, 2025
State-registered IARs · 0 to 1
Mar 26, 2024 to Apr 15, 2025
Discretionary RAUM · $17.1M to $6.7M
Mar 26, 2024 to Apr 15, 2025
HNW RAUM · $14.0M to $11.0M
Mar 26, 2024 to Apr 15, 2025
Individual RAUM · unset to 3167819.0
Mar 26, 2024 to Apr 15, 2025
Non-discretionary RAUM · $36.0M to $47.4M
Mar 26, 2024 to Apr 15, 2025
RAUM · $53.1M to $54.2M
Mar 26, 2024 to Apr 15, 2025
HQ city · PITTSBURGH to unset
Nov 30, 2023 to Mar 26, 2024
HQ state · PA to unset
Nov 30, 2023 to Mar 26, 2024
Accounts · 16 to 10
Apr 28, 2023 to Jun 22, 2023
Advisory activities · 4 to 5
Apr 28, 2023 to Jun 22, 2023
Corporate clients · 2 to 1
Apr 28, 2023 to Jun 22, 2023
HNW clients · 2 to 7
Apr 28, 2023 to Jun 22, 2023
Pension plan clients · 2.0 to unset
Apr 28, 2023 to Jun 22, 2023
Financial planning clients · 0 to 1-10
Apr 28, 2023 to Jun 22, 2023
Discretionary RAUM · $8.5M to $17.1M
Apr 28, 2023 to Jun 22, 2023
HNW RAUM · $5.5M to $14.0M
Apr 28, 2023 to Jun 22, 2023
Non-discretionary RAUM · $1.3B to $36.0M
Apr 28, 2023 to Jun 22, 2023
Pension RAUM · 113760638.0 to unset
Apr 28, 2023 to Jun 22, 2023
RAUM · $1.3B to $53.1M
Apr 28, 2023 to Jun 22, 2023
Advisory employees · 2 to 1
Mar 24, 2023 to Apr 28, 2023
Employees · 3 to 1
Mar 24, 2023 to Apr 28, 2023
Discretionary RAUM · $10.1M to $8.5M
Mar 18, 2022 to Mar 24, 2023
HNW RAUM · $6.5M to $5.5M
Mar 18, 2022 to Mar 24, 2023
Non-discretionary RAUM · $1.5B to $1.3B
Mar 18, 2022 to Mar 24, 2023
Pension RAUM · $142M to $114M
Mar 18, 2022 to Mar 24, 2023
RAUM · $1.5B to $1.3B
Mar 18, 2022 to Mar 24, 2023
Accounts · 17 to 16
Jun 18, 2021 to Mar 18, 2022
Employees · 4 to 3
Jun 18, 2021 to Mar 18, 2022
Discretionary RAUM · $90.8M to $10.1M
Jun 18, 2021 to Mar 18, 2022
HNW RAUM · $4.6M to $6.5M
Jun 18, 2021 to Mar 18, 2022
Non-discretionary RAUM · $1.4B to $1.5B
Jun 18, 2021 to Mar 18, 2022

Signals

2 dated events

••• Locked
Dec 20, 2025 · Left the SEC roster · derived
••• Locked
Jun 22, 2023 · 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: $54.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026