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

3••••••• S••••••••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 159207SEC 801-72955IAPD
Latest filing Dec 7, 2012
First filing on the tape Dec 8, 2011 · 15 filings
RAUM
$46.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$15.5M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$21.6M gross assets
History
15 filings and snapshots on the tape
RAUM$46.4M as of Dec 7, 2012
Dec 8, 2011$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Dec 7, 2012
Nov 1, 20122 then
Employees (5.A)4 as of Dec 7, 2012
Nov 1, 20124 then
Private funds2 as of Dec 7, 2012
Nov 1, 20122 then
Practice profile
derived from the filing of Dec 7, 2012; every figure names its basis
RAUM per advisor
$15.5MderivedRAUM 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
$986,764derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.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
47reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
G••••• B••••••• B••••••Certified Financial PlannerHillsborough, NcJan 3, 201225 y1
D••••• P•••••• M••••••Hillsborough, NcMar 29, 201822 y2
A••••••• B••••••••Arlington, Va Dec 12, 201814 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S••• C••••••••• F•••• L••Other Private Fund$4.1M50Nov 1, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• G•••••• B••••••• · Managing Member And Chief Investment Officer And Chief Compliance Officercontrol
      since 10/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Hillsborough, Nc300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 4 to 5
      Nov 1, 2012 to Nov 14, 2012
    • Assets in custody · 21648902.0 to unset
      Nov 1, 2012 to Nov 14, 2012
    • Custody of client assets · true to false
      Nov 1, 2012 to Nov 14, 2012
    • Advisory employees · unset to 2.0
      Jul 26, 2012 to Nov 1, 2012
    • Advisory activities · 3 to 4
      Jul 26, 2012 to Nov 1, 2012
    • BD registered reps · unset to 0.0
      Jul 26, 2012 to Nov 1, 2012
    • Assets in custody · unset to 21648902.0
      Jul 26, 2012 to Nov 1, 2012
    • Custody of client assets · false to true
      Jul 26, 2012 to Nov 1, 2012
    • Employees · unset to 4.0
      Jul 26, 2012 to Nov 1, 2012
    • Financial planning clients · 26-50 to 1-10
      Jul 26, 2012 to Nov 1, 2012
    • State-registered IARs · unset to 2.0
      Jul 26, 2012 to Nov 1, 2012
    • Private funds · unset to 2
      Jul 26, 2012 to Nov 1, 2012
    • Discretionary RAUM · $34.1M to $46.4M
      Jul 26, 2012 to Nov 1, 2012
    • RAUM · $34.1M to $46.4M
      Jul 26, 2012 to Nov 1, 2012
    • Accounts · 0 to 47
      Feb 7, 2012 to May 29, 2012
    • Advisory activities · 2 to 3
      Feb 7, 2012 to May 29, 2012
    • Financial planning clients · 0 to 26-50
      Feb 7, 2012 to May 29, 2012
    • Discretionary RAUM · $0 to $34.1M
      Feb 7, 2012 to May 29, 2012
    • RAUM · $0 to $34.1M
      Feb 7, 2012 to May 29, 2012
    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.
    How to reach
    public business contact points only, each with its source
    Website
    3SISTERSINVEST.COMreportedpublic record, Form ADV, Sep 18, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $15.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026