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

W••••• C•••••• A•••••••• L••

Former SEC-registered adviserBala Cynwyd, PennsylvaniaCRD 142292SEC 801-67261IAPD
Latest filing Mar 30, 2016
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$132M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$132M as of Mar 30, 2016
Mar 30, 2012$93.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2016
Mar 30, 20120 then
Employees (5.A)5 as of Mar 30, 2016
Mar 25, 20133 then
Private funds: no history
RAUM +5.3% over the last fiscal year+8.8% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$44.1MderivedRAUM 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
$369,544derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.3%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
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
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
358reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••••• J•••• B••••• · Managing Member & Chief Compliance Officercontrol
    since 10/2006 · 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
  • Accounts · 321 to 358
    Mar 27, 2015 to Mar 30, 2016
  • Discretionary RAUM · $126M to $132M
    Mar 27, 2015 to Mar 30, 2016
  • RAUM · $126M to $132M
    Mar 27, 2015 to Mar 30, 2016
  • Accounts · 293 to 321
    May 7, 2014 to Mar 27, 2015
  • Employees · 4 to 5
    May 7, 2014 to Mar 27, 2015
  • Discretionary RAUM · $116M to $126M
    May 7, 2014 to Mar 27, 2015
  • RAUM · $116M to $126M
    May 7, 2014 to Mar 27, 2015
  • Advisory activities · 2 to 3
    Mar 28, 2014 to May 7, 2014
  • Accounts · 277 to 293
    Jan 9, 2014 to Mar 28, 2014
  • Advisory employees · 2 to 3
    Jan 9, 2014 to Mar 28, 2014
  • Employees · 3 to 4
    Jan 9, 2014 to Mar 28, 2014
  • State-registered IARs · 2 to 3
    Jan 9, 2014 to Mar 28, 2014
  • Discretionary RAUM · $103M to $116M
    Jan 9, 2014 to Mar 28, 2014
  • RAUM · $103M to $116M
    Jan 9, 2014 to Mar 28, 2014
  • Accounts · 265 to 277
    Mar 30, 2012 to Mar 25, 2013
  • Advisory employees · unset to 2.0
    Mar 30, 2012 to Mar 25, 2013
  • Employees · unset to 3.0
    Mar 30, 2012 to Mar 25, 2013
  • State-registered IARs · 0 to 2
    Mar 30, 2012 to Mar 25, 2013
  • Discretionary RAUM · $93.2M to $103M
    Mar 30, 2012 to Mar 25, 2013
  • RAUM · $93.2M to $103M
    Mar 30, 2012 to Mar 25, 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