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

I•••••••• M••••••••• L••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 159233SEC 801-72910IAPD
Latest filing Mar 31, 2017
First filing on the tape Nov 17, 2011 · 9 filings
RAUM
$67.7M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$67.7M as of Mar 31, 2017
Mar 20, 2012$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 22, 20130 then
Employees (5.A)2 as of Mar 31, 2017
Mar 22, 20132 then
Private funds: no history
RAUM -26% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
$33.8MderivedRAUM 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
-26%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 companies, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
2reported
Financial planning clients
n/areported
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
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
      • G••••• M••••••• D•••• · Chief Compliance Officercontrol
        since 11/2011 · owns less than 5%
      • J•••••••• D••••• J•••• · Presidentcontrol
        since 11/2011 · owns less than 5%
      • B•••••• B••••• J•••• · Chief Compliance Officercontrol
        since 01/2016 · owns F of C••••••••• W••••• A•••••••• L••
      • F•••••• C••••• J•• · Manager/Membercontrol
        since 06/2012 · owns F of A••••••• M••••••••• L••
      • H••••••• A•••••• R••• · Managing Principal (Ceo)control
        since 11/2001 · owns F of C••••••••• W••••• A•••••••• L••
      • J••••••• R•••••• J••••• · Manager/Membercontrol
        since 02/2007 · owns 25% to 50% of A••••••• M••••••••• L••
      • J••••••• M••••••• B•••• · Chief Financial Officercontrol
        since 03/2013 · owns F of C••••••••• W••••• A•••••••• L••
      • M••••••••• A•••••• N• · Manager/Membercontrol
        since 02/2007 · owns F of A••••••• M••••••••• L••
      • O•••••• B••••• A••••• · Manager/Membercontrol
        since 02/2007 · owns F of A••••••• M••••••••• L••
      Entity owners
      • I•••••••• H•••••••• L•• · Managing Member
        direct · owns 75% or more
      • A•• F••• I••••••••• L•• · Member
        indirect · owns 50% to 75% of I•••••••• H•••••••• L••
      • A••••••• A•••• M••••••••• O•••••• L•• · Sole Member
        indirect · owns 75% or more of A•• F••• I••••••••• L••
      • A••••••• H•••••••• L•• · Sole Member
        indirect · owns 75% or more of A••••••• A•••• M••••••••• O•••••• L••
      • A••••••• M••••••••• L•• · Manager/Member
        indirect · owns 75% or more of A••••••• H•••••••• L••
      • C••••••••• L•• · Sole Member
        indirect · owns 75% or more of C••••••••• W••••• A•••••••• L••
      • C••••••••• W••••• A•••••••• L•• · Member
        indirect · owns 50% to 75% of I•••••••• H•••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list I•••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $91.7M to $67.7M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $91.7M to $67.7M
        Mar 30, 2016 to Mar 31, 2017
      • Accounts · 1 to 2
        Oct 27, 2015 to Mar 30, 2016
      • Insurance-licensed employees · 2 to 0
        Oct 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $89.6M to $91.7M
        Oct 27, 2015 to Mar 30, 2016
      • RAUM · $89.6M to $91.7M
        Oct 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $109M to $89.6M
        Oct 2, 2014 to Mar 31, 2015
      • RAUM · $109M to $89.6M
        Oct 2, 2014 to Mar 31, 2015
      • Advisory activities · 1 to 2
        Mar 22, 2013 to Mar 28, 2014
      • Discretionary RAUM · $76.6M to $109M
        Mar 22, 2013 to Mar 28, 2014
      • RAUM · $76.6M to $109M
        Mar 22, 2013 to Mar 28, 2014
      • Accounts · 0 to 1
        Mar 20, 2012 to Mar 22, 2013
      • Advisory employees · unset to 2.0
        Mar 20, 2012 to Mar 22, 2013
      • BD registered reps · unset to 0.0
        Mar 20, 2012 to Mar 22, 2013
      • Employees · unset to 2.0
        Mar 20, 2012 to Mar 22, 2013
      • State-registered IARs · unset to 0.0
        Mar 20, 2012 to Mar 22, 2013
      • Discretionary RAUM · $0 to $76.6M
        Mar 20, 2012 to Mar 22, 2013
      • RAUM · $0 to $76.6M
        Mar 20, 2012 to Mar 22, 2013
      • Related insurance company · false to true
        Mar 20, 2012 to Mar 22, 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