DFX Intelligence

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P•••••••• F•••• L••

Asset manager (funds and pooled vehicles)SEC-registered· Newtown, Pennsylvaniawebsite

Asset manager (funds and pooled vehicles), based in Newtown, Pennsylvania, reporting $17.0M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-01-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $17.0M
Advisors: 0
Net advisor flow, 12 months: Not established
RAUM change, last fiscal year: +386%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2026-01-07 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +386% over the last fiscal year, to $17.0M.
2026-01-07
RAUM a year earlier $3.5MRAUM now $17.0M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 156974 · SEC 801-130456 · 17 filingsShow

CRD 156974SEC 801-130456First filing on the tape Feb 15, 2012, latest Jan 7, 2026SEC status approved since Jun 11, 2024IAPD

RAUM

$17.0M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM$17.0M as of Jan 7, 2026

Feb 15, 2012$164M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 7, 2026

Feb 15, 20120 then

Employees (5.A)3 as of Jan 7, 2026

Jan 30, 20134 then

Private funds: no history

RAUM +386% over the last fiscal year+11835% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jan 7, 2026; 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: $1.5MderivedRAUM 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: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +386%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 investment companiesreportedItem 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

Investment companies$17.0M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 11reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• M•••• S••••• · Chief Financial Officer And Chief Compliance Officercontrol
since 05/2010 · owns less than 5%
M•••••• D••••• · Chief Executive Officercontrol
since 05/2010 · owns less than 5%
T•••••• J•••• S••••• · Chief Operating Officercontrol
since 05/2010 · owns less than 5%
M•••••• D••••• · Member
since 04/2005 · owns 25% to 50% of P•••••••• I••••••••• L••

Entity owners

P•••••••• I••••••••• L•• · Managing Member
direct · owns 75% or more

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 · 3 to 11
Jan 9, 2025 to Jan 7, 2026
Non-discretionary RAUM · $3.5M to $17.0M
Jan 9, 2025 to Jan 7, 2026
RAUM · $3.5M to $17.0M
Jan 9, 2025 to Jan 7, 2026
Financial planning clients · unset to
Oct 7, 2024 to Jan 9, 2025
Discretionary RAUM · $1.5M to $0
Oct 7, 2024 to Jan 9, 2025
Non-discretionary RAUM · $0 to $3.5M
Oct 7, 2024 to Jan 9, 2025
RAUM · $1.5M to $3.5M
Oct 7, 2024 to Jan 9, 2025
Accounts · unset to 3.0
May 12, 2024 to Oct 7, 2024
Discretionary RAUM · unset to 1500000.0
May 12, 2024 to Oct 7, 2024
Non-discretionary RAUM · unset to 0.0
May 12, 2024 to Oct 7, 2024
RAUM · unset to 1500000.0
May 12, 2024 to Oct 7, 2024
Accounts · 1.0 to unset
Jan 17, 2023 to May 12, 2024
Discretionary RAUM · 0.0 to unset
Jan 17, 2023 to May 12, 2024
Non-discretionary RAUM · 10.0 to unset
Jan 17, 2023 to May 12, 2024
RAUM · 10.0 to unset
Jan 17, 2023 to May 12, 2024
Non-discretionary RAUM · $3.0M to $10
Jan 8, 2021 to Jan 7, 2022
RAUM · $3.0M to $10
Jan 8, 2021 to Jan 7, 2022
Employees · 4 to 3
Jan 7, 2020 to Jan 8, 2021
Non-discretionary RAUM · $10 to $3.0M
Jan 7, 2020 to Jan 8, 2021
RAUM · $10 to $3.0M
Jan 7, 2020 to Jan 8, 2021
Financial planning clients · 0 to unset
Nov 14, 2019 to Jan 7, 2020
HQ city · BEDMINSTER to NEWTOWN
Jan 30, 2019 to Nov 14, 2019
HQ state · NJ to PA
Jan 30, 2019 to Nov 14, 2019
Accounts · unset to 1.0
Jan 27, 2017 to Feb 1, 2018
Financial planning clients · unset to 0
Jan 27, 2017 to Feb 1, 2018
Other offices · unset to 0.0
Jan 27, 2017 to Feb 1, 2018
Discretionary RAUM · unset to 0.0
Jan 27, 2017 to Feb 1, 2018
Non-discretionary RAUM · unset to 10.0
Jan 27, 2017 to Feb 1, 2018
RAUM · unset to 10.0
Jan 27, 2017 to Feb 1, 2018
Accounts · 1.0 to unset
Jan 30, 2015 to Feb 1, 2016
Discretionary RAUM · 86432000.0 to unset
Jan 30, 2015 to Feb 1, 2016
Non-discretionary RAUM · 0.0 to unset
Jan 30, 2015 to Feb 1, 2016
RAUM · 86432000.0 to unset
Jan 30, 2015 to Feb 1, 2016
Discretionary RAUM · $0 to $86.4M
Jan 31, 2014 to Jan 30, 2015
Non-discretionary RAUM · $138M to $0
Jan 31, 2014 to Jan 30, 2015
RAUM · $138M to $86.4M
Jan 31, 2014 to Jan 30, 2015
Discretionary RAUM · $201M to $0
Jan 30, 2013 to Jan 31, 2014
Non-discretionary RAUM · $0 to $138M
Jan 30, 2013 to Jan 31, 2014
RAUM · $201M to $138M
Jan 30, 2013 to Jan 31, 2014
Advisory employees · 0 to 3
Feb 15, 2012 to Jan 30, 2013

Signals

1 dated events

••• Locked
May 12, 2024 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Jan 7, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jan 7, 2026

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: Asset manager (funds and pooled vehicles)deriveda 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