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••••••••• G•••• L••

Former SEC-registered adviserWayne, PennsylvaniaCRD 146551SEC 801-68985IAPD
Latest filing Mar 15, 2017
First filing on the tape Nov 7, 2011 · 8 filings
RAUM
$36.0M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$36.0M as of Mar 15, 2017
Mar 23, 2012$142M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 15, 2017
Mar 14, 20131 then
Employees (5.A)4 as of Mar 15, 2017
Mar 14, 20135 then
Private funds1 as of Mar 14, 2013
Mar 23, 20121 then
RAUM -89% over the last fiscal year-55% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 15, 2017; every figure names its basis
RAUM per advisor
$36.0MderivedRAUM 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
$36.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-89%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 investment companiesreportedItem 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)
  • 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
1reported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    B••••••• I••••••••• P••••••• L•no longer reportedHedge Fund$1.2M1Mar 23, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••••• G••••••• R••••• · Managing Membercontrol
      since 02/2008 · owns less than 5%
    • M•••••• J•••••• T••••• · Chief Compliance Officercontrol
      since 01/2008 · owns less than 5%
    • L•••••••• G••••••• R••••• · Limited Partnercontrol
      since 01/2013 · owns 75% or more of M••••• H••••••• L•
    • M•••••• J•••••• T••••• · Managing Membercontrol
      since 01/2013 · owns 75% or more of O•••••• H••••••• L••
    • F••••• A••••••• B•••• · Managing Member
      since 01/2013 · owns 75% or more of T•••• C• L••
    Entity owners
    • M••••• H••••••• L• · Owner
      direct · owns 50% to 75%
    • O•••••• H••••••• L•• · Owner
      direct · owns 5% to 10%
    • T•••• C• L•• · Owner
      direct · owns 5% to 10%
    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 · 2 to 1
      Mar 4, 2016 to Mar 15, 2017
    • Advisory employees · 3 to 2
      Mar 4, 2016 to Mar 15, 2017
    • BD registered reps · 1 to 0
      Mar 4, 2016 to Mar 15, 2017
    • Employees · 7 to 4
      Mar 4, 2016 to Mar 15, 2017
    • Discretionary RAUM · $318M to $36.0M
      Mar 4, 2016 to Mar 15, 2017
    • RAUM · $318M to $36.0M
      Mar 4, 2016 to Mar 15, 2017
    • BD registered reps · 2 to 1
      Mar 6, 2015 to Mar 4, 2016
    • Employees · 8 to 7
      Mar 6, 2015 to Mar 4, 2016
    • Discretionary RAUM · $317M to $318M
      Mar 6, 2015 to Mar 4, 2016
    • RAUM · $317M to $318M
      Mar 6, 2015 to Mar 4, 2016
    • Accounts · 1 to 2
      Mar 25, 2014 to Mar 6, 2015
    • BD registered reps · 1 to 2
      Mar 25, 2014 to Mar 6, 2015
    • Employees · 6 to 8
      Mar 25, 2014 to Mar 6, 2015
    • Discretionary RAUM · $385M to $317M
      Mar 25, 2014 to Mar 6, 2015
    • RAUM · $385M to $317M
      Mar 25, 2014 to Mar 6, 2015
    • Related adviser · true to false
      Mar 25, 2014 to Mar 6, 2015
    • Advisory employees · 2 to 3
      Sep 23, 2013 to Mar 25, 2014
    • Employees · 5 to 6
      Sep 23, 2013 to Mar 25, 2014
    • Discretionary RAUM · $270M to $385M
      Sep 23, 2013 to Mar 25, 2014
    • RAUM · $270M to $385M
      Sep 23, 2013 to Mar 25, 2014
    • Accounts · 2 to 1
      Mar 14, 2013 to Sep 23, 2013
    • Advisory activities · 2 to 1
      Mar 14, 2013 to Sep 23, 2013
    • Private funds · 1 to unset
      Mar 14, 2013 to Sep 23, 2013
    • Discretionary RAUM · $170M to $270M
      Mar 14, 2013 to Sep 23, 2013
    • RAUM · $170M to $270M
      Mar 14, 2013 to Sep 23, 2013
    • Accounts · 4 to 2
      Mar 23, 2012 to Mar 14, 2013
    • Advisory employees · unset to 2.0
      Mar 23, 2012 to Mar 14, 2013
    • BD registered reps · unset to 1.0
      Mar 23, 2012 to Mar 14, 2013
    • Employees · unset to 5.0
      Mar 23, 2012 to Mar 14, 2013
    • State-registered IARs · unset to 1.0
      Mar 23, 2012 to Mar 14, 2013
    • Discretionary RAUM · $142M to $170M
      Mar 23, 2012 to Mar 14, 2013
    • RAUM · $142M to $170M
      Mar 23, 2012 to Mar 14, 2013
    • Private funds · unset to 1
      Nov 7, 2011 to Mar 23, 2012
    • Discretionary RAUM · $101M to $142M
      Nov 7, 2011 to Mar 23, 2012
    • RAUM · $101M to $142M
      Nov 7, 2011 to Mar 23, 2012
    • Related adviser · false to true
      Nov 7, 2011 to Mar 23, 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