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

L••••• F•••••••• R••••••••• I•••

Former SEC-registered adviserMedia, PennsylvaniaCRD 139500SEC 801-66283IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 6, 2012 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$658M as of Mar 27, 2018
Mar 6, 2012$361M then
HNW client RAUM$0 as of Mar 29, 2019
Mar 27, 2018$557M then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 6, 20120 then
Employees (5.A)2 as of Mar 29, 2019
Mar 15, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 5 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• J••••••• I••••• · Presidentcontrol
      since 01/2006 · owns 75% or more
    • D•••••••• R••••••• D•••• · Chief Compliance Officer
      since 01/2008 · owns less than 5%
    Related persons
    Schedule D 7.A
    • L••••• F•••••••• S•••••••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1356.0 to unset
      Mar 27, 2018 to Mar 29, 2019
    • Advisory employees · 5 to 0
      Mar 27, 2018 to Mar 29, 2019
    • Advisory activities · 3 to 1
      Mar 27, 2018 to Mar 29, 2019
    • Charity clients · 2 to 0
      Mar 27, 2018 to Mar 29, 2019
    • Corporate clients · unset to 0.0
      Mar 27, 2018 to Mar 29, 2019
    • HNW clients · 136 to 0
      Mar 27, 2018 to Mar 29, 2019
    • Individual clients · 305 to 0
      Mar 27, 2018 to Mar 29, 2019
    • Pension plan clients · unset to 0.0
      Mar 27, 2018 to Mar 29, 2019
    • Pooled vehicle clients · unset to 0.0
      Mar 27, 2018 to Mar 29, 2019
    • Assets in custody · $1.1M to $0
      Mar 27, 2018 to Mar 29, 2019
    • Custody of client assets · true to false
      Mar 27, 2018 to Mar 29, 2019
    • Employees · 9 to 2
      Mar 27, 2018 to Mar 29, 2019
    • Financial planning clients · 251-500 to unset
      Mar 27, 2018 to Mar 29, 2019
    • State-registered IARs · 5 to 0
      Mar 27, 2018 to Mar 29, 2019
    • Discretionary RAUM · 657669183.0 to unset
      Mar 27, 2018 to Mar 29, 2019
    • HNW RAUM · $557M to $0
      Mar 27, 2018 to Mar 29, 2019
    • Individual RAUM · $99.6M to $0
      Mar 27, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · 0.0 to unset
      Mar 27, 2018 to Mar 29, 2019
    • Pension RAUM · unset to 0.0
      Mar 27, 2018 to Mar 29, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Mar 27, 2018 to Mar 29, 2019
    • RAUM · 657669183.0 to unset
      Mar 27, 2018 to Mar 29, 2019
    • Related adviser · false to true
      Mar 27, 2018 to Mar 29, 2019
    • Accounts · 1,244 to 1,356
      Nov 20, 2017 to Mar 27, 2018
    • Advisory employees · 4 to 5
      Nov 20, 2017 to Mar 27, 2018
    • Charity clients · unset to 2.0
      Nov 20, 2017 to Mar 27, 2018
    • HNW clients · unset to 136.0
      Nov 20, 2017 to Mar 27, 2018
    • Individual clients · unset to 305.0
      Nov 20, 2017 to Mar 27, 2018
    • Assets in custody · $2.8M to $1.1M
      Nov 20, 2017 to Mar 27, 2018
    • Employees · 8 to 9
      Nov 20, 2017 to Mar 27, 2018
    • State-registered IARs · 4 to 5
      Nov 20, 2017 to Mar 27, 2018
    • Discretionary RAUM · $595M to $658M
      Nov 20, 2017 to Mar 27, 2018
    • HNW RAUM · unset to 556809239.0
      Nov 20, 2017 to Mar 27, 2018
    • Individual RAUM · unset to 99586198.0
      Nov 20, 2017 to Mar 27, 2018
    • RAUM · $595M to $658M
      Nov 20, 2017 to Mar 27, 2018
    • Other offices · unset to 1.0
      Mar 23, 2017 to Nov 20, 2017
    • Accounts · 1,035 to 1,244
      Jan 30, 2017 to Mar 23, 2017
    • Assets in custody · $3.0M to $2.8M
      Jan 30, 2017 to Mar 23, 2017
    • Employees · 7 to 8
      Jan 30, 2017 to Mar 23, 2017
    • Discretionary RAUM · $515M to $595M
      Jan 30, 2017 to Mar 23, 2017
    • RAUM · $515M to $595M
      Jan 30, 2017 to Mar 23, 2017
    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