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

S••••• I••••••••• I••••••••• U•• L•

Former SEC-registered adviserBerwyn, PennsylvaniaCRD 141202SEC 801-67074IAPD
Latest filing Feb 5, 2014
First filing on the tape Jan 30, 2012 · 7 filings
RAUM
$175M
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
8
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$175M as of Feb 5, 2014
Jan 31, 2012$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 5, 2014
Jan 31, 20120 then
Employees (5.A)8 as of Feb 5, 2014
Feb 4, 201317 then
Private funds: no history
RAUM -63% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 5, 2014; 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
$43.9MderivedRAUM 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
-63%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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
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
4reported
Financial planning clients
n/areported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• R••••• P••••• C•••••••• · Manager Of The General Partnercontrol
        since 10/2013 · owns less than 5%
      • L••••• J•••• H••••• · D•••••Or - Financecontrol
        since 09/2006 · owns less than 5%
      • W•••••• K••••••• N•••• · Chief Compliance Officer And Legal Counselcontrol
        since 01/2012 · owns less than 5%
      Entity owners
      • 2•••••• O•••••• I••• · L•••••• Partner
        direct · owns 75% or more
      • D• U• P•••••••• L•• · General Partner
        direct · owns less than 5%
      • 2•••••• O•••••• I•• · Member
        indirect · owns 75% or more of D• U• P•••••••• L••
      • H••••••••• I••• · Shareholder
        indirect · owns 75% or more of 2•••••• O•••••• I•••
      • T•• B••• O• N••• S••••• · Shareholder
        indirect · owns 75% or more of D••••••••• Inc · public reporting company
      Related persons
      Schedule D 7.A
      • 1••• A•••• M••••••••• U••• I•••
        investment advisernRAUM $1.4B
      • A••••• C•••••• M••••••••• I••
        investment advisern
      • H••••••••• A••••••• S••••••• I•••
        broker-dealern
      • H••••••••• S•••
        investment advisern
      • I•• D••••• A•••• M••••••••• L•••
        investment adviserpooled vehicle sponsorn
      • I•• D••••• F•••• L••••••
        investment advisern
      • S••••• A•••• M••••••••• L•••
        investment advisern
      • S••••• C•••••• •••• I•••
        broker-dealern
      • S••••• C•••••• I•••
        broker-dealern
      • S••••• I••••••••• A•••• M••••••••• U•• L•••
        investment advisernRAUM $143M
      • S••••• M•••••• C•••••••• A••••••••• I•••
        pooled vehicle sponsorn
      • S••••• S••••••••• I•••
        broker-dealern
      • S••••••••• F•••••••• S••••••• I•••
        real estaten
      • T•• B••• O• N••• S•••••
        y
      • T•• B••• O• N••• S••••• T•••• C••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 4
        Jan 6, 2014 to Feb 5, 2014
      • BD registered reps · 6 to 4
        Jan 6, 2014 to Feb 5, 2014
      • Business name · D••••••••• U•• L• to S••••• I••••••••• I••••••••• U•• L•
        Jan 6, 2014 to Feb 5, 2014
      • Employees · 10 to 8
        Jan 6, 2014 to Feb 5, 2014
      • Discretionary RAUM · $475M to $175M
        Jan 6, 2014 to Feb 5, 2014
      • RAUM · $475M to $175M
        Jan 6, 2014 to Feb 5, 2014
      • Related bank · true to false
        Jan 6, 2014 to Feb 5, 2014
      • Legal name · D••••••••• U•• L• to S••••• I••••••••• I••••••••• U•• L•
        Nov 1, 2013 to Jan 6, 2014
      • BD registered reps · 12 to 6
        Feb 25, 2013 to Nov 1, 2013
      • Employees · 17 to 10
        Feb 25, 2013 to Nov 1, 2013
      • Accounts · 9 to 10
        Jan 31, 2012 to Feb 4, 2013
      • Advisory employees · unset to 2.0
        Jan 31, 2012 to Feb 4, 2013
      • BD registered reps · unset to 12.0
        Jan 31, 2012 to Feb 4, 2013
      • Employees · unset to 17.0
        Jan 31, 2012 to Feb 4, 2013
      • Discretionary RAUM · $283M to $475M
        Jan 31, 2012 to Feb 4, 2013
      • RAUM · $283M to $475M
        Jan 31, 2012 to Feb 4, 2013
      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