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Former SEC-registered adviser

W••••••••• W••••• M••••••••• L••

Former SEC-registered adviserBerwyn, PennsylvaniaCRD 132159SEC 801-63329IAPD
Latest filing Mar 27, 2015
First filing on the tape Nov 30, 2011 · 8 filings
RAUM
$126M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$126M as of Mar 27, 2015
Mar 29, 2012$92.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 27, 2015
Mar 29, 20120 then
Employees (5.A)2 as of Mar 27, 2015
Mar 27, 20132 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2015; every figure names its basis
RAUM per advisor
$126MderivedRAUM 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
$460,154derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+10%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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
274reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
  • P•••••• T•••••• D••••••• · President, Chief Compliance Officercontrol
    since 07/2004 · owns 75% or more
Related persons
Schedule D 7.A
  • T••••• D• P•••••
    pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 267 to 274
    Mar 27, 2014 to Mar 27, 2015
  • Discretionary RAUM · $106M to $104M
    Mar 27, 2014 to Mar 27, 2015
  • Non-discretionary RAUM · $8.6M to $21.6M
    Mar 27, 2014 to Mar 27, 2015
  • RAUM · $114M to $126M
    Mar 27, 2014 to Mar 27, 2015
  • Accounts · 257 to 267
    Apr 17, 2013 to Mar 27, 2014
  • Financial planning clients · 26-50 to 101-250
    Apr 17, 2013 to Mar 27, 2014
  • Discretionary RAUM · $83.5M to $106M
    Apr 17, 2013 to Mar 27, 2014
  • Non-discretionary RAUM · $17.2M to $8.6M
    Apr 17, 2013 to Mar 27, 2014
  • RAUM · $101M to $114M
    Apr 17, 2013 to Mar 27, 2014
  • Accounts · 275 to 257
    Apr 24, 2012 to Mar 27, 2013
  • Advisory employees · unset to 1.0
    Apr 24, 2012 to Mar 27, 2013
  • Employees · unset to 2.0
    Apr 24, 2012 to Mar 27, 2013
  • State-registered IARs · 0 to 1
    Apr 24, 2012 to Mar 27, 2013
  • Discretionary RAUM · $69.6M to $83.5M
    Apr 24, 2012 to Mar 27, 2013
  • Non-discretionary RAUM · $22.5M to $17.2M
    Apr 24, 2012 to Mar 27, 2013
  • RAUM · $92.1M to $101M
    Apr 24, 2012 to Mar 27, 2013
  • Advisory activities · 2 to 3
    Mar 29, 2012 to Apr 24, 2012
  • Accounts · 212 to 275
    Dec 7, 2011 to Mar 29, 2012
  • Advisory activities · 4 to 2
    Dec 7, 2011 to Mar 29, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 7, 2011 to Mar 29, 2012
  • Discretionary RAUM · $64.5M to $69.6M
    Dec 7, 2011 to Mar 29, 2012
  • Non-discretionary RAUM · $13.1M to $22.5M
    Dec 7, 2011 to Mar 29, 2012
  • RAUM · $77.7M to $92.1M
    Dec 7, 2011 to Mar 29, 2012
  • HQ city · unset to BERWYN
    Nov 30, 2011 to Dec 7, 2011
  • HQ state · unset to PA
    Nov 30, 2011 to Dec 7, 2011
Signals
No event on the tape.
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