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

E••• P•••• I••••••••• M••••••••• L••

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 154105SEC 801-71688IAPD
Latest filing Nov 14, 2013
First filing on the tape Mar 30, 2012 · 4 filings
RAUM
$263M
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
13
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$47.1M gross assets
History
4 filings and snapshots on the tape
RAUM$1.7B as of Mar 22, 2013
Mar 30, 2012$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 22, 2013
Mar 30, 20120 then
Employees (5.A): 13
Private funds1 as of Mar 22, 2013
Mar 30, 20121 then
RAUM -82% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 14, 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
$32.9MderivedRAUM 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
+15%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
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
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••• P•••• I••••••••• G••••• E••••• F•••Private Equity Fund$47.1M7Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • V•• D•• B•••• J•••••••• B• · Chief Executive Officercontrol
        since 10/2010 · owns less than 5%
      • W••••••• S••••••• M• · Chief Operating Officer & Chief Compliance Officercontrol
        since 09/2010 · owns less than 5%
      • V•• D•• B•••• J•••••••• B• · Interest In Key Employee-Owned L•••••• Partnershipcontrol
        since 11/2010 · owns 25% to 50% of E••• P•••• I••••••••• H••••••• L•
      • G•••••• L••••• T••••• · Member Of Board Of Managers
        since 10/2010 · owns less than 5%
      • R••••••• A••••• J••• · Member Of Board Of Managers
        since 07/2011 · owns less than 5%
      Entity owners
      • O•• M••••• ••• H•••••••• I••• · Majority Shareholder
        direct · owns 75% or more
      • E••• P•••• I••••••••• G• L•• · Gp Of Key Employee-Owned L•••••• Partnership
        indirect · owns F of E••• P•••• I••••••••• H••••••• L•
      • O•• M••••• P•• · 100% Shareholder Of Old M••••• Group (Uk) L••••••
        indirect · owns 75% or more of Old M••••• Group (Uk) L••••••
      • O• G•••• ••• L•••••• · 100% Shareholder Of Old M••••• (US) Holdings Inc
        indirect · owns 75% or more of Old M••••• (US) Holdings Inc
      • E••• P•••• I••••••••• H••••••• L• · Key Employee-Owned L•••••• Partnership
        direct · owns 10% to 25%
      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 · 9 to 8
        Mar 22, 2013 to Nov 14, 2013
      • Discretionary RAUM · $1.7B to $263M
        Mar 22, 2013 to Nov 14, 2013
      • RAUM · $1.7B to $263M
        Mar 22, 2013 to Nov 14, 2013
      • Accounts · 10 to 9
        Mar 30, 2012 to Mar 22, 2013
      • Advisory employees · unset to 6.0
        Mar 30, 2012 to Mar 22, 2013
      • BD registered reps · 0 to 9
        Mar 30, 2012 to Mar 22, 2013
      • Employees · unset to 13.0
        Mar 30, 2012 to Mar 22, 2013
      • Discretionary RAUM · $1.5B to $1.7B
        Mar 30, 2012 to Mar 22, 2013
      • RAUM · $1.5B to $1.7B
        Mar 30, 2012 to Mar 22, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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