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

L•• M••••••••• L•••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 157588SEC 801-74016IAPD
Latest filing Dec 20, 2018
First filing on the tape Feb 14, 2012 · 25 filings
RAUM
$2.6B
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
49
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
9
$1.5B gross assets
History
25 filings and snapshots on the tape
RAUM$2.6B as of Mar 30, 2018
Mar 26, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 26, 20130 then
Employees (5.A)49 as of Mar 30, 2018
Mar 26, 201333 then
Private funds9 as of Mar 30, 2018
Mar 26, 20139 then
RAUM +45% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 20, 2018; 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
$288MderivedRAUM 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
+45%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 9.A
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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.6B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      L•• E••••• P•••••••• L•••no longer reportedPrivate Equity Fund$683,931163Feb 14, 2012
      L•• I•• C••••••• L•••no longer reportedPrivate Equity Fund$88,342199Feb 14, 2012
      L•• E••••• P••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$69,28768Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• N•••• S••••• · Chief Financial Officercontrol
        since 01/2012 · owns less than 5%
      • H•••••• M•••••••• L•••• · Limited Partnercontrol
        since 01/2004 · owns 10% to 25%
      • L•••• S•••• J••••••• · Limited Partnercontrol
        since 10/1999 · owns 5% to 10%
      • L•••••• I••• M••• · Limited Partnercontrol
        since 10/1999 · owns 5% to 10%
      • P•••••••• S••••• A•••••• · Limited Partnercontrol
        since 01/2012 · owns 10% to 25%
      • R•••••• D••••• J•••• · Limited Partnercontrol
        since 01/2012 · owns 10% to 25%
      • R•••• H•••••• D•••• · Limited Partnercontrol
        since 10/1999 · owns 10% to 25%
      • S•••• J•••• B•••••• · Limited Partnercontrol
        since 03/2017 · owns less than 5%
      • S••••••• D••••• A••••• · Limited Partnercontrol
        since 10/2013 · owns 10% to 25%
      • V•••••• M•••••••• W•••• · Chief Compliance Officercontrol
        since 08/2012 · owns less than 5%
      • H•••••• M•••••••• L•••• · Membercontrol
        since 01/2004 · owns 25% to 50% of L•• M••••••••• L••
      • L•••• S•••• J••••••• · Membercontrol
        since 10/1999 · owns 25% to 50% of L•• M••••••••• L••
      • L•••••• I••• M••• · Membercontrol
        since 10/1999 · owns 25% to 50% of L•• M••••••••• L••
      • R•••• H•••••• D•••• · Membercontrol
        since 10/1999 · owns 25% to 50% of L•• M••••••••• L••
      Entity owners
      • L•• M••••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • B••••••••• G• I• L•••
        pooled vehicle sponsorn
      • I• P•••••••• L•••
        pooled vehicle sponsorn
      • L•• G•••• S•••••• L••
        pooled vehicle sponsorn
      • L•• S•••••• H•••••• H•••••••• L•••
        pooled vehicle sponsorn
      • L•• C••••• F•••••• I•• L•••
        pooled vehicle sponsorn
      • L•• C••••• F•••••• I••• L•••
        pooled vehicle sponsorn
      • L•• C••••• F•••••• I•• L•••
        pooled vehicle sponsorn
      • L•• C••••• F••••••• L•••
        pooled vehicle sponsorn
      • Lbc Credit Partners
        investment advisernRAUM $3.2B
      • L•••• C••••• F••••••• L•••
        pooled vehicle sponsorn
      • L•••• C••••• F••••••• L•••
        pooled vehicle sponsorn
      • L•• C••••••• L•••
        investment advisernRAUM $661M
      • L•• P••••••• I•• L•••
        pooled vehicle sponsorn
      • L•• P••••••• I••• L•••
        pooled vehicle sponsorn
      • L•• P••••••• I•• L•••
        pooled vehicle sponsorn
      • L•• P•••••••• L•••
        pooled vehicle sponsorn
      • L•• C•••••• I•• L•••
        pooled vehicle sponsory
      • L•• C•••••• I••• L•••
        pooled vehicle sponsory
      • L•• C•••••• I•• L•••
        pooled vehicle sponsory
      • L•• C•••••• V• L•••
        pooled vehicle sponsory
      • L•• C••••••• L•••
        pooled vehicle sponsory
      • L•• I• S••••••••• L••
        investment advisery
      • L••••••••• C•••••• G•••• V••• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• I•• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• I••• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• I•• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• V• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• V•••• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• V•• L•••
        pooled vehicle sponsorn
      • L••••••••• G•••• V•• H•••••••• L•••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 9
        Sep 19, 2017 to Mar 30, 2018
      • Advisory employees · 34 to 31
        Sep 19, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 9.0
        Sep 19, 2017 to Mar 30, 2018
      • Assets in custody · $1.5B to $0
        Sep 19, 2017 to Mar 30, 2018
      • Employees · 45 to 49
        Sep 19, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Sep 19, 2017 to Mar 30, 2018
      • Private funds · 8 to 9
        Sep 19, 2017 to Mar 30, 2018
      • Discretionary RAUM · $1.8B to $2.6B
        Sep 19, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 2593987319.0
        Sep 19, 2017 to Mar 30, 2018
      • RAUM · $1.8B to $2.6B
        Sep 19, 2017 to Mar 30, 2018
      • Advisory employees · 35 to 34
        Nov 18, 2016 to Mar 30, 2017
      • Assets in custody · $1.3B to $1.5B
        Nov 18, 2016 to Mar 30, 2017
      • Employees · 42 to 45
        Nov 18, 2016 to Mar 30, 2017
      • Discretionary RAUM · $1.9B to $1.8B
        Nov 18, 2016 to Mar 30, 2017
      • RAUM · $1.9B to $1.8B
        Nov 18, 2016 to Mar 30, 2017
      • Assets in custody · $1.3B to $1.3B
        Mar 30, 2016 to Apr 4, 2016
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 30, 2016 to Apr 4, 2016
      • RAUM · $1.9B to $1.9B
        Mar 30, 2016 to Apr 4, 2016
      • Accounts · 9 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 25 to 35
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $1.1B to $1.3B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 36 to 42
        Mar 31, 2015 to Mar 30, 2016
      • Private funds · 9 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $1.9B to $1.9B
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 29 to 25
        Feb 5, 2015 to Mar 31, 2015
      • Assets in custody · $1.1B to $1.1B
        Feb 5, 2015 to Mar 31, 2015
      • Employees · 40 to 36
        Feb 5, 2015 to Mar 31, 2015
      • Discretionary RAUM · $2.1B to $1.9B
        Feb 5, 2015 to Mar 31, 2015
      • RAUM · $2.1B to $1.9B
        Feb 5, 2015 to Mar 31, 2015
      • Advisory employees · 33 to 29
        Dec 6, 2013 to Mar 28, 2014
      • Assets in custody · $1.0B to $1.1B
        Dec 6, 2013 to Mar 28, 2014
      • Employees · 33 to 40
        Dec 6, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.9B to $2.1B
        Dec 6, 2013 to Mar 28, 2014
      • RAUM · $1.9B to $2.1B
        Dec 6, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.9B to $1.9B
        Mar 26, 2013 to Apr 23, 2013
      • RAUM · $1.9B to $1.9B
        Mar 26, 2013 to Apr 23, 2013
      • Accounts · 7 to 9
        Aug 29, 2012 to Mar 26, 2013
      • Advisory employees · unset to 33.0
        Aug 29, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Aug 29, 2012 to Mar 26, 2013
      Signals
      1 dated events
      • L•• M••••••••• L••• reported RAUM $2.6B, up 45% from $1.8B (2017-09-19 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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