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

B•••• I••••••••• M••••••••• L•••

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 140011SEC 801-66526IAPD
Latest filing Feb 12, 2019
First filing on the tape Apr 2, 2012 · 12 filings
RAUM
$75.8M
reported, Item 5.F
Discretionary
100%
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
12
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$86.3M gross assets
History
12 filings and snapshots on the tape
RAUM$75.8M as of Feb 12, 2019
Apr 2, 2012$57.5M then
HNW client RAUM$0 as of Feb 12, 2019
Feb 6, 2018$0 then
State-registered IARs (5.B.3)0 as of Feb 12, 2019
Mar 26, 20130 then
Employees (5.A)12 as of Feb 12, 2019
Mar 26, 20138 then
Private funds2 as of Feb 12, 2019
Apr 2, 20122 then
RAUM -12% over the last fiscal year-4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 12, 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
$37.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-12%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$75.8M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••• L••• I••••••••• F•••• L•••Hedge Fund$29.6M16Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• T•••••• E••• · Managing Membercontrol
        since 01/1998 · owns 10% to 25%
      • B••••• W•••••• T••••• · Managing Membercontrol
        since 01/1998 · owns 75% or more
      • C••••••• C••••• A•• · Chief Compliance Officercontrol
        since 03/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 12
        Feb 6, 2018 to Feb 12, 2019
      • Discretionary RAUM · $86.3M to $75.8M
        Feb 6, 2018 to Feb 12, 2019
      • Pooled vehicle RAUM · $86.3M to $75.8M
        Feb 6, 2018 to Feb 12, 2019
      • RAUM · $86.3M to $75.8M
        Feb 6, 2018 to Feb 12, 2019
      • Charity clients · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Corporate clients · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • HNW clients · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Individual clients · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Pension plan clients · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Pooled vehicle clients · unset to 2.0
        Feb 9, 2017 to Feb 6, 2018
      • Other offices · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Discretionary RAUM · $81.7M to $86.3M
        Feb 9, 2017 to Feb 6, 2018
      • HNW RAUM · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Individual RAUM · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Pension RAUM · unset to 0.0
        Feb 9, 2017 to Feb 6, 2018
      • Pooled vehicle RAUM · unset to 86259932.0
        Feb 9, 2017 to Feb 6, 2018
      • RAUM · $81.7M to $86.3M
        Feb 9, 2017 to Feb 6, 2018
      • Financial planning clients · 0 to unset
        Jan 29, 2016 to Feb 9, 2017
      • Discretionary RAUM · $88.2M to $81.7M
        Jan 29, 2016 to Feb 9, 2017
      • RAUM · $88.2M to $81.7M
        Jan 29, 2016 to Feb 9, 2017
      • Discretionary RAUM · $96.2M to $88.2M
        Mar 31, 2015 to Jan 29, 2016
      • RAUM · $96.2M to $88.2M
        Mar 31, 2015 to Jan 29, 2016
      • Advisory employees · 2 to 4
        Oct 1, 2014 to Mar 31, 2015
      • Employees · 6 to 9
        Oct 1, 2014 to Mar 31, 2015
      • State-registered IARs · 1 to 0
        Oct 1, 2014 to Mar 31, 2015
      • Discretionary RAUM · $88.7M to $96.2M
        Oct 1, 2014 to Mar 31, 2015
      • RAUM · $88.7M to $96.2M
        Oct 1, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 2
        Oct 7, 2013 to Mar 4, 2014
      • Employees · 8 to 6
        Oct 7, 2013 to Mar 4, 2014
      • Insurance-licensed employees · 1 to 0
        Oct 7, 2013 to Mar 4, 2014
      • State-registered IARs · 0 to 1
        Oct 7, 2013 to Mar 4, 2014
      • Discretionary RAUM · $64.9M to $88.7M
        Oct 7, 2013 to Mar 4, 2014
      • RAUM · $64.9M to $88.7M
        Oct 7, 2013 to Mar 4, 2014
      • HQ city · CONSHOHOCKEN to WEST CONSHOHOCKEN
        Apr 1, 2013 to Oct 7, 2013
      • Advisory employees · unset to 6.0
        Apr 2, 2012 to Mar 26, 2013
      • Employees · unset to 8.0
        Apr 2, 2012 to Mar 26, 2013
      • Insurance-licensed employees · 0 to 1
        Apr 2, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Apr 2, 2012 to Mar 26, 2013
      • Discretionary RAUM · $57.5M to $64.9M
        Apr 2, 2012 to Mar 26, 2013
      • RAUM · $57.5M to $64.9M
        Apr 2, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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