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Former SEC-registered adviser

I••••••••• A••••••• L••

Former SEC-registered adviserWyomissing, PennsylvaniaCRD 149378SEC 801-69961IAPD
Latest filing Feb 23, 2016
First filing on the tape Feb 29, 2012 · 7 filings
RAUM
$1.2B
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
47
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.2B as of Feb 23, 2016
Feb 29, 2012$904M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 23, 2016
Feb 29, 20120 then
Employees (5.A)47 as of Feb 23, 2016
Mar 20, 201324 then
Private funds: no history
RAUM +1.1% over the last fiscal year+7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 23, 2016; 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
$1.2MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • controlled by a public reporting company (10.A)
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
980reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      • K••••• S•••• P• · Secretarycontrol
        since 10/2014 · owns less than 5%
      • K•••• J••••• D•••• · Presidentcontrol
        since 01/2009 · owns less than 5%
      • K••••••• K••••• L••••• · Chief Compliance Officercontrol
        since 01/2009 · owns less than 5%
      • L•••• R••••••• A•••• · Chief Financial Officercontrol
        since 01/2009 · owns less than 5%
      Entity owners
      • N••••••• P••• B••• · Owner
        direct · owns 75% or more
      • N••••••• P••• B••••••••• I•• · Holding Company
        indirect · owns 75% or more of N••••••• P••• B••• · public reporting company
      Related persons
      Schedule D 7.A
      • N••••••• P••• B•••
        y
      • N••••••• P••• B•••
        custodiany
      • N••••••• P••• I•••••••• S••••••• G••••• I••
        real estaten
      Advisers that list I••••••••• A••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Allentown, PA
      What changed
      consecutive filings, newest first
      • Accounts · 958 to 980
        Jan 30, 2015 to Feb 23, 2016
      • BD registered reps · 1 to 2
        Jan 30, 2015 to Feb 23, 2016
      • Discretionary RAUM · $1.2B to $1.2B
        Jan 30, 2015 to Feb 23, 2016
      • RAUM · $1.2B to $1.2B
        Jan 30, 2015 to Feb 23, 2016
      • Accounts · 901 to 958
        Apr 14, 2014 to Jan 30, 2015
      • Employees · 21 to 47
        Apr 14, 2014 to Jan 30, 2015
      • Discretionary RAUM · $1.1B to $1.2B
        Apr 14, 2014 to Jan 30, 2015
      • RAUM · $1.1B to $1.2B
        Apr 14, 2014 to Jan 30, 2015
      • Related adviser · true to false
        Apr 14, 2014 to Jan 30, 2015
      • Accounts · 877 to 901
        Sep 24, 2013 to Feb 4, 2014
      • Advisory employees · 7 to 8
        Sep 24, 2013 to Feb 4, 2014
      • Employees · 24 to 21
        Sep 24, 2013 to Feb 4, 2014
      • Discretionary RAUM · $948M to $1.1B
        Sep 24, 2013 to Feb 4, 2014
      • RAUM · $948M to $1.1B
        Sep 24, 2013 to Feb 4, 2014
      • Accounts · 762 to 877
        Feb 29, 2012 to Mar 20, 2013
      • Advisory employees · unset to 7.0
        Feb 29, 2012 to Mar 20, 2013
      • BD registered reps · 0 to 1
        Feb 29, 2012 to Mar 20, 2013
      • Employees · unset to 24.0
        Feb 29, 2012 to Mar 20, 2013
      • Discretionary RAUM · $904M to $948M
        Feb 29, 2012 to Mar 20, 2013
      • RAUM · $904M to $948M
        Feb 29, 2012 to Mar 20, 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