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

A•••••• A•••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 144820SEC 801-68475IAPD
Latest filing Mar 30, 2015
First filing on the tape Apr 2, 2012 · 6 filings
RAUM
$32.1M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$32.1M as of Mar 30, 2015
Apr 2, 2012$28.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 30, 2015
Apr 2, 20120 then
Employees (5.A)2 as of Mar 30, 2015
Mar 15, 20132 then
Private funds: no history
RAUM +1.8% over the last fiscal year+3.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 30, 2015; every figure names its basis
RAUM per advisor
$16.1MderivedRAUM 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
$2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.8%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)
  • 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
14reported
Financial planning clients
0reported
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
      • G••••• M••••••• D•••• · Chief Compliance Officercontrol
        since 04/2009 · owns less than 5%
      • J•••••••• D••••• J•••• · Ceo / Managing Membercontrol
        since 09/2007 · owns 25% to 50%
      • G•••••• W••••••• G••••• · Managing Partnercontrol
        since 06/2005 · owns 25% to 50% of The A••••••••• G•••• L•• L•••
      • G•••••• W••••••• M•••••• · Managing Partnercontrol
        since 05/2000 · owns 25% to 50% of The A••••••••• G•••• L•• L•••
      • C••••• D••••••• L•••• · Member/Investor
        since 09/2007 · owns less than 5%
      • C•••••••• J•••••• F•••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • D••••••• R••••••• J••• · Member/Investor
        since 09/2007 · owns less than 5%
      • G•••••••• R•••••• N••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • G•••••• W••••••• A••••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • H•••••••• S••••••• J••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • J•••••••• J•••••• H•••• · Member/Investor
        since 09/2007 · owns less than 5%
      • K••••• W••••••• M••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • M••••••• G•••••• P••• · Member/Investor
        since 09/2007 · owns less than 5%
      • P••••••••• E••••• · Member/Investor
        since 04/2010 · owns less than 5%
      • R••••••• J••• M•••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • S••••••••• A••••••• M• · Member/Investor
        since 09/2007 · owns less than 5%
      • S•••••••• H•••••• A••••• · Member/Investor
        since 09/2007 · owns less than 5%
      • V••••••• N••••• S•••••• · Member/Investor
        since 01/2012 · owns less than 5%
      Entity owners
      • A••••••••• G•••• L•• L••• · Member/Investor
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 14
        Oct 2, 2014 to Mar 30, 2015
      • Discretionary RAUM · $30.6M to $32.1M
        Oct 2, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $918,465 to $0
        Oct 2, 2014 to Mar 30, 2015
      • RAUM · $31.6M to $32.1M
        Oct 2, 2014 to Mar 30, 2015
      • Accounts · 11 to 10
        Mar 15, 2013 to Mar 24, 2014
      • Discretionary RAUM · $27.4M to $30.6M
        Mar 15, 2013 to Mar 24, 2014
      • Non-discretionary RAUM · $803,318 to $918,465
        Mar 15, 2013 to Mar 24, 2014
      • RAUM · $28.2M to $31.6M
        Mar 15, 2013 to Mar 24, 2014
      • Accounts · 15 to 11
        Apr 2, 2012 to Mar 15, 2013
      • Advisory employees · unset to 2.0
        Apr 2, 2012 to Mar 15, 2013
      • Employees · unset to 2.0
        Apr 2, 2012 to Mar 15, 2013
      • State-registered IARs · 0 to 2
        Apr 2, 2012 to Mar 15, 2013
      • Discretionary RAUM · $28.7M to $27.4M
        Apr 2, 2012 to Mar 15, 2013
      • Non-discretionary RAUM · $0 to $803,318
        Apr 2, 2012 to Mar 15, 2013
      • RAUM · $28.7M to $28.2M
        Apr 2, 2012 to Mar 15, 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