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

V•••••••• F•••••••• S•••••••• I•••

Former SEC-registered adviserMalvern, PennsylvaniaCRD 144171SEC 801-68226IAPD
Latest filing Mar 24, 2017
First filing on the tape Mar 16, 2012 · 24 filings
RAUM
$138M
reported, Item 5.F
Discretionary
62%
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
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$138M as of Mar 24, 2017
Mar 16, 2012$118M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 24, 2017
Mar 15, 20133 then
Employees (5.A)6 as of Mar 24, 2017
Mar 15, 20135 then
Private funds: no history
RAUM -16% over the last fiscal year-2.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2017; every figure names its basis
RAUM per advisor
$46.1MderivedRAUM 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
$217,637derivedRAUM over accounts (5.F.2.f)
Discretionary
62%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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 assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
635reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
    • M•••••• W••••••• B•••••• · Chief Compliance Officer And Presidentcontrol
      since 07/2007 · 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 · 675 to 635
      Oct 10, 2016 to Mar 24, 2017
    • Discretionary RAUM · $54.3M to $85.5M
      Oct 10, 2016 to Mar 24, 2017
    • Non-discretionary RAUM · $78.0M to $52.7M
      Oct 10, 2016 to Mar 24, 2017
    • RAUM · $132M to $138M
      Oct 10, 2016 to Mar 24, 2017
    • Accounts · 682 to 675
      Feb 25, 2016 to Oct 3, 2016
    • Advisory activities · 4 to 3
      Feb 25, 2016 to Oct 3, 2016
    • Discretionary RAUM · $31.0M to $54.3M
      Feb 25, 2016 to Oct 3, 2016
    • Non-discretionary RAUM · $134M to $78.0M
      Feb 25, 2016 to Oct 3, 2016
    • RAUM · $165M to $132M
      Feb 25, 2016 to Oct 3, 2016
    • Accounts · 487 to 682
      Mar 3, 2015 to Feb 25, 2016
    • Financial planning clients · 0 to 1-10
      Mar 3, 2015 to Feb 25, 2016
    • Discretionary RAUM · $3.0M to $31.0M
      Mar 3, 2015 to Feb 25, 2016
    • Non-discretionary RAUM · $163M to $134M
      Mar 3, 2015 to Feb 25, 2016
    • RAUM · $166M to $165M
      Mar 3, 2015 to Feb 25, 2016
    • Accounts · 458 to 487
      Oct 22, 2014 to Mar 3, 2015
    • Advisory employees · 4 to 3
      Oct 22, 2014 to Mar 3, 2015
    • BD registered reps · 7 to 5
      Oct 22, 2014 to Mar 3, 2015
    • Employees · 9 to 6
      Oct 22, 2014 to Mar 3, 2015
    • Advisory employees · 3 to 4
      Sep 8, 2014 to Sep 10, 2014
    • BD registered reps · 6 to 7
      Sep 8, 2014 to Sep 10, 2014
    • Employees · 8 to 9
      Sep 8, 2014 to Sep 10, 2014
    • Accounts · 452 to 458
      Sep 2, 2014 to Sep 8, 2014
    • Non-discretionary RAUM · $148M to $163M
      Sep 2, 2014 to Sep 8, 2014
    • RAUM · $151M to $166M
      Sep 2, 2014 to Sep 8, 2014
    • Accounts · 423 to 452
      Oct 4, 2013 to Mar 14, 2014
    • Discretionary RAUM · $0 to $3.0M
      Oct 4, 2013 to Mar 14, 2014
    • Non-discretionary RAUM · $129M to $148M
      Oct 4, 2013 to Mar 14, 2014
    • RAUM · $129M to $151M
      Oct 4, 2013 to Mar 14, 2014
    • Advisory activities · 3 to 4
      Mar 15, 2013 to Sep 20, 2013
    • BD registered reps · 3 to 6
      Mar 15, 2013 to Sep 20, 2013
    • Employees · 5 to 8
      Mar 15, 2013 to Sep 20, 2013
    • Financial planning clients · 26-50 to 0
      Mar 15, 2013 to Sep 20, 2013
    • Non-discretionary RAUM · $129M to $129M
      Jan 4, 2013 to Mar 15, 2013
    • RAUM · $129M to $129M
      Jan 4, 2013 to Mar 15, 2013
    • Accounts · 387 to 423
      Dec 6, 2012 to Jan 4, 2013
    • Advisory activities · 2 to 3
      Dec 6, 2012 to Jan 4, 2013
    • Employees · 3 to 5
      Dec 6, 2012 to Jan 4, 2013
    • Non-discretionary RAUM · $118M to $129M
      Dec 6, 2012 to Jan 4, 2013
    • RAUM · $118M to $129M
      Dec 6, 2012 to Jan 4, 2013
    • Advisory employees · 4 to 3
      Dec 5, 2012 to Dec 6, 2012
    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