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

R••••••••• P••••••• S•••••••••

Former SEC-registered adviserWillow Grove, PennsylvaniaCRD 157811SEC 801-77839IAPD
Legal name R••••••••• P••••••• S••••••••• I•••
Latest filing Mar 4, 2021
First filing on the tape Mar 25, 2013 · 14 filings
RAUM
$197M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$197M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$197M as of Mar 4, 2021
Mar 13, 2014$164M then
HNW client RAUM$80.3M as of Mar 4, 2021
Mar 29, 2018$43.1M then
State-registered IARs (5.B.3)4 as of Mar 4, 2021
Mar 13, 20143 then
Employees (5.A)7 as of Mar 4, 2021
Mar 13, 20146 then
Private funds: no history
RAUM +4.1% over the last fiscal year+9.5% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 2021; every figure names its basis
RAUM per advisor
$49.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
156derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$189,027derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$117M59%
  • High-net-worth individuals$80.3M41%
Individual clients
576reported
HNW clients
48reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,044reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • S••••••• J•••••• P••••• · President And Chief Compliance Officercontrol
      since 05/2011 · 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 · 1,238 to 1,044
      Jun 30, 2020 to Mar 4, 2021
    • HNW clients · 40 to 48
      Jun 30, 2020 to Mar 4, 2021
    • Individual clients · 499 to 576
      Jun 30, 2020 to Mar 4, 2021
    • Insurance-licensed employees · 1 to 0
      Jun 30, 2020 to Mar 4, 2021
    • Financial planning clients · More than 500 to 11-25
      Jun 30, 2020 to Mar 4, 2021
    • Discretionary RAUM · $190M to $197M
      Jun 30, 2020 to Mar 4, 2021
    • HNW RAUM · $68.0M to $80.3M
      Jun 30, 2020 to Mar 4, 2021
    • Individual RAUM · $121M to $117M
      Jun 30, 2020 to Mar 4, 2021
    • RAUM · $190M to $197M
      Jun 30, 2020 to Mar 4, 2021
    • Accounts · 1,341 to 1,238
      Mar 21, 2019 to Mar 17, 2020
    • Advisory employees · 3 to 4
      Mar 21, 2019 to Mar 17, 2020
    • HNW clients · 34 to 40
      Mar 21, 2019 to Mar 17, 2020
    • Individual clients · 505 to 499
      Mar 21, 2019 to Mar 17, 2020
    • Employees · 8 to 7
      Mar 21, 2019 to Mar 17, 2020
    • Insurance-licensed employees · 0 to 1
      Mar 21, 2019 to Mar 17, 2020
    • State-registered IARs · 3 to 4
      Mar 21, 2019 to Mar 17, 2020
    • Discretionary RAUM · $173M to $190M
      Mar 21, 2019 to Mar 17, 2020
    • HNW RAUM · $58.2M to $68.0M
      Mar 21, 2019 to Mar 17, 2020
    • Individual RAUM · $115M to $121M
      Mar 21, 2019 to Mar 17, 2020
    • RAUM · $173M to $190M
      Mar 21, 2019 to Mar 17, 2020
    • Accounts · 1,200 to 1,341
      Mar 29, 2018 to Mar 21, 2019
    • Advisory activities · 1 to 2
      Mar 29, 2018 to Mar 21, 2019
    • BD registered reps · 3 to 2
      Mar 29, 2018 to Mar 21, 2019
    • HNW clients · 24 to 34
      Mar 29, 2018 to Mar 21, 2019
    • Individual clients · 480 to 505
      Mar 29, 2018 to Mar 21, 2019
    • Employees · 7 to 8
      Mar 29, 2018 to Mar 21, 2019
    • Financial planning clients · 251-500 to More than 500
      Mar 29, 2018 to Mar 21, 2019
    • Discretionary RAUM · $150M to $173M
      Mar 29, 2018 to Mar 21, 2019
    • HNW RAUM · $43.1M to $58.2M
      Mar 29, 2018 to Mar 21, 2019
    • Individual RAUM · $107M to $115M
      Mar 29, 2018 to Mar 21, 2019
    • RAUM · $150M to $173M
      Mar 29, 2018 to Mar 21, 2019
    • Related broker-dealer · true to false
      Mar 29, 2018 to Mar 21, 2019
    • Accounts · 1,172 to 1,200
      Jul 7, 2017 to Mar 29, 2018
    • HNW clients · unset to 24.0
      Jul 7, 2017 to Mar 29, 2018
    • Individual clients · unset to 480.0
      Jul 7, 2017 to Mar 29, 2018
    • Employees · 5 to 7
      Jul 7, 2017 to Mar 29, 2018
    • Financial planning clients · unset to 251-500
      Jul 7, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Jul 7, 2017 to Mar 29, 2018
    • Discretionary RAUM · $152M to $150M
      Jul 7, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 43143060.0
      Jul 7, 2017 to Mar 29, 2018
    Signals
    1 dated events
    • R••••••••• P••••••• S••••••••• filed its initial SEC registration (Form ADV)
      Mar 25, 2013 · 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.
    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