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

R••• P••••••••• L•

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 146341SEC 801-68924IAPD
Latest filing Apr 1, 2013
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$2.0B
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
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$1.8B gross assets
History
3 filings and snapshots on the tape
RAUM$2.0B as of Apr 1, 2013
Mar 30, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 30, 20120 then
Employees (5.A): 7
Private funds2 as of Apr 1, 2013
Mar 30, 20122 then
RAUM +7.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2013; 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
$997MderivedRAUM 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
+7.7%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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
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
2reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R••• C•• C•• I• L•••Securitized Asset Fund$989M1Mar 30, 2012
      R••• P•••••••• F•••••• I•• L•••Securitized Asset Fund$830M1Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• K••••••• R•••••• · Evp Of Portfolio And Risk Managementcontrol
        since 05/2011 · owns less than 5%
      • L••••• A•••••• F•••••••• · Chief Compliance Officercontrol
        since 12/2012 · owns less than 5%
      • L••••• R••••••• A• · Chief Operating Officercontrol
        since 02/2009 · owns less than 5%
      • S••••••••• S•••• · Chief Executive Officercontrol
        since 02/2009 · owns less than 5%
      • S••••• J••••• J••••• · Chief Financial Officercontrol
        since 05/2012 · owns less than 5%
      Entity owners
      • R••• G••••••• I••• · G•••••• Partner
        direct · owns less than 5% · public reporting company
      • R••• F•••••••• T•••• · Sole Stockholder
        indirect · owns F of R••• G••••••• I••• And R••• L••••••• I•••
      • R••• L••••••• I••• · Sole L•••••• Partner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Advisers that list R••• P••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 4
        Dec 20, 2012 to Apr 1, 2013
      • BD registered reps · 1 to 0
        Dec 20, 2012 to Apr 1, 2013
      • Employees · 48 to 7
        Dec 20, 2012 to Apr 1, 2013
      • Discretionary RAUM · $1.9B to $2.0B
        Dec 20, 2012 to Apr 1, 2013
      • RAUM · $1.9B to $2.0B
        Dec 20, 2012 to Apr 1, 2013
      • Related bank · false to true
        Dec 20, 2012 to Apr 1, 2013
      • Advisory employees · unset to 10.0
        Mar 30, 2012 to Dec 20, 2012
      • BD registered reps · unset to 1.0
        Mar 30, 2012 to Dec 20, 2012
      • Employees · unset to 48.0
        Mar 30, 2012 to Dec 20, 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