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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R••••••• A•••• M••••••••• L••

Former SEC-registered adviserCanonsburg, PennsylvaniaCRD 150978SEC 801-70495IAPD
Latest filing Mar 29, 2019
First filing on the tape Nov 7, 2011 · 30 filings
RAUM
$90.9M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
15%
$13.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$90.9M as of Mar 29, 2019
Mar 2, 2012$39.5M then
HNW client RAUM$12.6M as of Mar 29, 2019
Mar 30, 2018$77.1M then
State-registered IARs (5.B.3)2 as of Mar 29, 2019
Mar 28, 20138 then
Employees (5.A)4 as of Mar 29, 2019
Mar 28, 20139 then
Private funds1 as of Mar 30, 2018
Mar 2, 20122 then
RAUM -35% over the last fiscal year+0.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$45.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$350,527derivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
89%derivedof RAUM
Institutional
59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-35%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$53.6M59%
  • Other investment advisers$23.6M26%
  • High-net-worth individuals$12.6M14%
  • Individuals$861,4450.9%
  • Charitable organizations$135,5920.1%
  • Corporations and businesses$80,5170.1%
Individual clients
n/areported
HNW clients
36reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
58reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $23.6M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
Private funds
3 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
G••••• F••••• P•••••••• L•Hedge Fund$1.6M3Mar 2, 2012
G••••• F••••• H••• A••••• L•no longer reportedHedge Fund$1.2M6Mar 2, 2012
S••••••••• A••••••••• S••••••••• L•no longer reportedHedge Fund$03Mar 28, 2014
Owners and control persons
Schedule A and B, latest filing
  • D•••••• S••••• T•••••• · Founder/Ceo/Cio/Ccocontrol
    since 12/2008 · owns less than 5%
  • M••••• G•••••• F• · Managing Directorcontrol
    since 01/2017 · owns less than 5%
  • H••• J•••• · Managing Membercontrol
    since 04/2005 · owns 75% or more of V•••••• L•••••••• V••• L••
  • H••• J•••• · Ownercontrol
    since 04/2005 · owns 75% or more of P••••••• K•••••• I••••••••• P•••••••
Entity owners
  • R••••••• G••••• A••••••• L••• · Owner
    direct · owns 75% or more
  • P••••••• K•••••• I••••••••• P••••••• · Owner
    indirect · owns 25% to 50% of R••••••• G••••• A••••••• L•••
  • V•••••• L•••••••• V••• L•• · Owner
    indirect · owns 25% to 50% of R••••••• G••••• A••••••• L•••
Related persons
Schedule D 7.A
  • C••••• R••••••• S•••• B••• T••••••••• C•• L•••
    investment advisern
  • F••••• C•••••• M••••••••• L••
    pooled vehicle sponsorn
  • H•••••••• R••• L•••
    investment advisern
  • R••••••• A•••• M••••••••• L•••
    investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 73 to 58
    Oct 26, 2018 to Mar 29, 2019
  • Advisory employees · 3 to 1
    Oct 26, 2018 to Mar 29, 2019
  • Advisory activities · 3 to 2
    Oct 26, 2018 to Mar 29, 2019
  • Business name · F••••• I••••••••• G••••• L•• D•• R••••••• A•••• M••••••••• to R••••••• A•••• M••••••••• L••
    Oct 26, 2018 to Mar 29, 2019
  • HNW clients · 25 to 36
    Oct 26, 2018 to Mar 29, 2019
  • Assets in custody · 1601843.0 to unset
    Oct 26, 2018 to Mar 29, 2019
  • Custody of client assets · true to false
    Oct 26, 2018 to Mar 29, 2019
  • Legal name · F••••• I••••••••• G••••• L•• to R••••••• A•••• M••••••••• L••
    Oct 26, 2018 to Mar 29, 2019
  • Private funds · 1 to unset
    Oct 26, 2018 to Mar 29, 2019
  • Discretionary RAUM · $81.4M to $81.3M
    Oct 26, 2018 to Mar 29, 2019
  • HNW RAUM · $11.2M to $12.6M
    Oct 26, 2018 to Mar 29, 2019
  • Individual RAUM · $830,708 to $861,445
    Oct 26, 2018 to Mar 29, 2019
  • Non-discretionary RAUM · $10.5M to $9.6M
    Oct 26, 2018 to Mar 29, 2019
  • Pooled vehicle RAUM · 1601843.0 to unset
    Oct 26, 2018 to Mar 29, 2019
  • RAUM · $91.9M to $90.9M
    Oct 26, 2018 to Mar 29, 2019
  • Wrap assets (manager) · $20.4M to $23.6M
    Oct 26, 2018 to Mar 29, 2019
  • Accounts · 70 to 73
    Jul 25, 2018 to Oct 26, 2018
  • Business name · F••••• I••••••••• G••••• L•• to F••••• I••••••••• G••••• L•• D•• R••••••• A•••• M•••••••••
    Jul 25, 2018 to Oct 26, 2018
  • HNW clients · 7 to 25
    Jul 25, 2018 to Oct 26, 2018
  • Individual clients · 6.0 to unset
    Jul 25, 2018 to Oct 26, 2018
  • Pooled vehicle clients · 1.0 to unset
    Jul 25, 2018 to Oct 26, 2018
  • Discretionary RAUM · $62.0M to $81.4M
    Jul 25, 2018 to Oct 26, 2018
  • HNW RAUM · $77.1M to $11.2M
    Jul 25, 2018 to Oct 26, 2018
  • Individual RAUM · $948,174 to $830,708
    Jul 25, 2018 to Oct 26, 2018
  • Non-discretionary RAUM · $77.2M to $10.5M
    Jul 25, 2018 to Oct 26, 2018
  • RAUM · $139M to $91.9M
    Jul 25, 2018 to Oct 26, 2018
  • Advisory activities · 4 to 3
    May 18, 2018 to Jul 25, 2018
  • Related adviser · false to true
    May 18, 2018 to Jul 25, 2018
  • Accounts · 65 to 70
    Mar 30, 2017 to Mar 30, 2018
  • Advisory activities · 5 to 4
    Mar 30, 2017 to Mar 30, 2018
  • HNW clients · unset to 7.0
    Mar 30, 2017 to Mar 30, 2018
  • Individual clients · unset to 6.0
    Mar 30, 2017 to Mar 30, 2018
  • Pooled vehicle clients · unset to 1.0
    Mar 30, 2017 to Mar 30, 2018
  • Financial planning clients · 1-10 to 0
    Mar 30, 2017 to Mar 30, 2018
  • Other offices · unset to 1.0
    Mar 30, 2017 to Mar 30, 2018
  • Discretionary RAUM · $43.6M to $62.0M
    Mar 30, 2017 to Mar 30, 2018
  • HNW RAUM · unset to 77148678.0
    Mar 30, 2017 to Mar 30, 2018
  • Individual RAUM · unset to 948174.0
    Mar 30, 2017 to Mar 30, 2018
  • Non-discretionary RAUM · $48.4M to $77.2M
    Mar 30, 2017 to Mar 30, 2018
  • Pooled vehicle RAUM · unset to 1601843.0
    Mar 30, 2017 to Mar 30, 2018
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