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
C••••••• F•••••••• N••••••• I•••
Latest filing Mar 30, 2022
First filing on the tape Nov 14, 2011 · 38 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$466M as of Feb 6, 2021
Mar 6, 2012$300M then
HNW client RAUM$366M as of Feb 6, 2021
Mar 22, 2018$284M then
State-registered IARs (5.B.3)8 as of Mar 30, 2022
Apr 1, 20136 then
Employees (5.A)9 as of Mar 30, 2022
Apr 1, 20139 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 10 to 8
Practice profile
derived from the filing of Mar 30, 2022; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
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
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D••••• M•••••• J••••••••• to M••••• G••••• A••••••• I•••Jul 12, 2022 · Other
- R••• M•••••• F••••• to W••••• P•••••••• L••Jul 12, 2022 · Other
- L••••••• D•••• S••• to M••••• G••••• A••••••• I•••Jul 12, 2022 · Other
- S•••••• F•••••••• C••••••• to A••••• G••••••• I•••Jul 12, 2022 · Other
- J••• T••••• W••••• to W••••• P•••••••• L••Jul 12, 2022 · Other
- E••• M• S••••• to M••••• G••••• A••••••• I•••Jul 12, 2022 · Other
- T•••••• F•••••••• J••••• to W••••• P•••••••• L••Apr 22, 2022 · Other
- D•••••• A• R••• to E•••••• A••••••• G••••• L••Dec 17, 2021 · Other
- B•••• R••••• H•••••••• to C••••••• S••••••••• I•••Dec 15, 2021 · RIA to affiliated broker-dealer or bank
- C••••••••• M•••••• G•••••• to W••••• P•••••••• L••Sep 10, 2018 · Other
- J•••• M••••••• to W••••• P•••••••• L••Jul 7, 2017 · Other
- J••••• D••• K••••• D••••• to J••••• D••••• F•••••••• P••••••• • A••••••••• L••Sep 19, 2016 · Other
Joined, latest
- D•••••• A• R••• from V•••• F•••••••• A•••••••• I•••Dec 7, 2018 · Affiliated broker-dealer or bank to independent RIA
- J••• T••••• W••••• from C••••••• S••••••••• I•••Jun 14, 2018 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• M•••••• G•••••• from T••••••• I••••••••• M••••••••• I•••Oct 24, 2017 · Other
- D••••• M•••••• J••••••••• from B•• S••••••••• I•••Sep 7, 2017 · Other
- J••••• D••• K••••• D••••• from L•• F•••••••• L••Jan 29, 2015 · Other
- S•••••• F•••••••• C••••••• from R•• C•••••• M••••••• L••Dec 16, 2011 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Jul 12, 2022 · Philadelphia, Pa
- 2 left for W••••• P•••••••• L••Jul 12, 2022 · Philadelphia, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• S••••••• F•••••••• · Ceo And Foundercontrolsince 10/2011 · owns less than 5%
- F••••••• F••••••••• G••••• · Chief Compliance Officer, Coo, And General Managercontrolsince 02/2017 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Southampton, PA6 employees
- Cherry Hill, NJ2 employees
- Haddonfield, NJ1 employees
What changed
consecutive filings, newest first
- Accounts · 1222.0 to unsetJan 23, 2022 to Mar 30, 2022
- Advisory employees · 10 to 8Jan 23, 2022 to Mar 30, 2022
- BD registered reps · 8 to 6Jan 23, 2022 to Mar 30, 2022
- HNW clients · 145.0 to unsetJan 23, 2022 to Mar 30, 2022
- Individual clients · 213.0 to unsetJan 23, 2022 to Mar 30, 2022
- Employees · 12 to 9Jan 23, 2022 to Mar 30, 2022
- Financial planning clients · 251-500 to 0Jan 23, 2022 to Mar 30, 2022
- State-registered IARs · 10 to 8Jan 23, 2022 to Mar 30, 2022
- Discretionary RAUM · 461828826.0 to unsetJan 23, 2022 to Mar 30, 2022
- HNW RAUM · 366230401.0 to unsetJan 23, 2022 to Mar 30, 2022
- Individual RAUM · 99076126.0 to unsetJan 23, 2022 to Mar 30, 2022
- Non-discretionary RAUM · 4145454.0 to unsetJan 23, 2022 to Mar 30, 2022
- Pension RAUM · 667753.0 to unsetJan 23, 2022 to Mar 30, 2022
- RAUM · 465974280.0 to unsetJan 23, 2022 to Mar 30, 2022
- Wrap assets (manager) · 0.0 to unsetJan 23, 2022 to Mar 30, 2022
- Wrap assets (sponsor) · 0.0 to unsetJan 23, 2022 to Mar 30, 2022
- Related adviser · true to falseSep 16, 2020 to Feb 6, 2021
- Accounts · 1,202 to 1,222Sep 16, 2020 to Feb 6, 2021
- Advisory employees · 9 to 10Sep 16, 2020 to Feb 6, 2021
- HNW clients · 141 to 145Sep 16, 2020 to Feb 6, 2021
- Individual clients · 212 to 213Sep 16, 2020 to Feb 6, 2021
- Employees · 13 to 12Sep 16, 2020 to Feb 6, 2021
- Insurance-licensed employees · 3 to 0Sep 16, 2020 to Feb 6, 2021
- Discretionary RAUM · $440M to $462MSep 16, 2020 to Feb 6, 2021
- HNW RAUM · $346M to $366MSep 16, 2020 to Feb 6, 2021
- Individual RAUM · $96.9M to $99.1MSep 16, 2020 to Feb 6, 2021
- Non-discretionary RAUM · $4.0M to $4.1MSep 16, 2020 to Feb 6, 2021
- Pension RAUM · $666,105 to $667,753Sep 16, 2020 to Feb 6, 2021
- RAUM · $444M to $466MSep 16, 2020 to Feb 6, 2021
- HQ city · PHILADELPHIA to NAPLESJun 18, 2020 to Sep 16, 2020
- HQ state · PA to FLJun 18, 2020 to Sep 16, 2020
- Other offices · 2 to 3Jun 18, 2020 to Sep 16, 2020
- Accounts · 1,176 to 1,202Jan 8, 2020 to Feb 25, 2020
- HNW clients · 114 to 141Jan 8, 2020 to Feb 25, 2020
- Individual clients · 238 to 212Jan 8, 2020 to Feb 25, 2020
- Insurance-licensed employees · 2 to 3Jan 8, 2020 to Feb 25, 2020
- Other offices · 1 to 2Jan 8, 2020 to Feb 25, 2020
- Discretionary RAUM · $382M to $440MJan 8, 2020 to Feb 25, 2020
- HNW RAUM · $277M to $346MJan 8, 2020 to Feb 25, 2020
- Individual RAUM · $105M to $96.9MJan 8, 2020 to Feb 25, 2020
Signals
9 dated events
- S•••••• F•••••••• C••••••• left C••••••• F•••••••• N••••••• I••• for A••••• G••••••• I••• (registered 2012-03-20)Jul 12, 2022 · Advisor changed firm · fact
- R••• M•••••• F••••• left C••••••• F•••••••• N••••••• I••• for W••••• P•••••••• L•• (registered 2014-10-01)Jul 12, 2022 · Advisor changed firm · fact
- E••• M• S••••• left C••••••• F•••••••• N••••••• I••• for M••••• G••••• A••••••• I••• (registered 2024-05-22)Jul 12, 2022 · Advisor changed firm · fact
- L••••••• D•••• S••• left C••••••• F•••••••• N••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-03-29)Jul 12, 2022 · Advisor changed firm · fact
- J••• T••••• W••••• left C••••••• F•••••••• N••••••• I••• for W••••• P•••••••• L•• (registered 2019-10-24)Jul 12, 2022 · Advisor changed firm · fact
- D••••• M•••••• J••••••••• left C••••••• F•••••••• N••••••• I••• for M••••• G••••• A••••••• I••• (registered 2022-03-31)Jul 12, 2022 · Advisor changed firm · fact
- 2 advisors left C••••••• F•••••••• N••••••• I••• (Southampton, PA) for W••••• P•••••••• L•• on the same dayJul 12, 2022 · Team lift-out · derived
- 2 advisors left C••••••• F•••••••• N••••••• I••• (Philadelphia, PA) for M••••• G••••• A••••••• I••• on the same dayJul 12, 2022 · Team lift-out · derived
- T•••••• F•••••••• J••••• left C••••••• F•••••••• N••••••• I••• for W••••• P•••••••• L•• (registered 2017-10-13)Apr 22, 2022 · Advisor changed firm · 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