DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••• I••••••••• A•••••••

Former SEC-registered adviserPlymouth Meeting, PennsylvaniaCRD 156806SEC 801-72207IAPD
Legal name C••••• I••••••••• A••••••• L••
Latest filing Apr 2, 2015
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$130M
reported, Item 5.F
Discretionary
0.0%
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$130M as of Apr 2, 2015
Mar 30, 2012$410M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2015
Mar 30, 20120 then
Employees (5.A)6 as of Apr 2, 2015
Mar 25, 20136 then
Private funds: no history
RAUM -40% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2015; 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
$130MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-40%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 vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M•••••••• S••••• · Managing Membercontrol
        since 02/2011 · owns 50% to 75%
      • B••••• J••••••••• V•••••• · Managing Member/Chief Compliance Officercontrol
        since 02/2011 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 28, 2014 to Apr 2, 2015
      • Non-discretionary RAUM · $215M to $130M
        Mar 28, 2014 to Apr 2, 2015
      • RAUM · $215M to $130M
        Mar 28, 2014 to Apr 2, 2015
      • Accounts · 1 to 2
        Mar 25, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $320M to $215M
        Mar 25, 2013 to Mar 28, 2014
      • RAUM · $320M to $215M
        Mar 25, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Jul 17, 2012 to Mar 25, 2013
      • Employees · unset to 6.0
        Jul 17, 2012 to Mar 25, 2013
      • Discretionary RAUM · $410M to $0
        Jul 17, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $0 to $320M
        Jul 17, 2012 to Mar 25, 2013
      • RAUM · $410M to $320M
        Jul 17, 2012 to Mar 25, 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