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•••••• C••••••••• A•••••••• L•••

Former SEC-registered adviserWayne, PennsylvaniaCRD 159836SEC 801-74454IAPD
Latest filing Dec 10, 2018
First filing on the tape Feb 28, 2012 · 19 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
8.1%
of RAUM
Private clients
1.0%
$16.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.7B as of Mar 29, 2018
Mar 26, 2013$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2018
Mar 26, 20131 then
Employees (5.A)3 as of Mar 29, 2018
Mar 26, 20133 then
Private funds: no history
RAUM +15% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Dec 10, 2018; every figure names its basis
RAUM per advisor
$561MderivedRAUM 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
$13.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
8.1%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • Pension and profit-sharing plans$1.7B99%
  • Individuals$16.6M1.0%
  • Corporations and businesses$787,3900.0%
Individual clients
26reported
HNW clients
n/areported
Pension plan clients
96reported
Charitable clients
n/areported
Accounts
123reported
Financial planning clients
26-50reported
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
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•••••••• T•••••• H•••• · Chief Compliance Officercontrol
      since 10/2011 · owns less than 5%
    • C••••••• M•••••••• A•• · Shareholdercontrol
      since 08/2014 · owns 75% or more of C•••••• C••••••••• L•••
    Entity owners
    • C•••••• C••••••••• L••• · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 120 to 123
      Mar 29, 2017 to Mar 29, 2018
    • Corporate clients · unset to 1.0
      Mar 29, 2017 to Mar 29, 2018
    • Individual clients · unset to 26.0
      Mar 29, 2017 to Mar 29, 2018
    • Pension plan clients · unset to 96.0
      Mar 29, 2017 to Mar 29, 2018
    • Financial planning clients · 11-25 to 26-50
      Mar 29, 2017 to Mar 29, 2018
    • Other offices · unset to 1.0
      Mar 29, 2017 to Mar 29, 2018
    • Discretionary RAUM · $111M to $135M
      Mar 29, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 16570755.0
      Mar 29, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $1.4B to $1.5B
      Mar 29, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 1664500641.0
      Mar 29, 2017 to Mar 29, 2018
    • RAUM · $1.5B to $1.7B
      Mar 29, 2017 to Mar 29, 2018
    • Accounts · 108 to 120
      Jan 26, 2016 to Mar 29, 2017
    • Advisory employees · 2 to 3
      Jan 26, 2016 to Mar 29, 2017
    • Employees · 13 to 3
      Jan 26, 2016 to Mar 29, 2017
    • State-registered IARs · 2 to 3
      Jan 26, 2016 to Mar 29, 2017
    • Discretionary RAUM · $76.2M to $111M
      Jan 26, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $1.1B to $1.4B
      Jan 26, 2016 to Mar 29, 2017
    • RAUM · $1.2B to $1.5B
      Jan 26, 2016 to Mar 29, 2017
    • Accounts · 84 to 108
      Mar 31, 2015 to Jan 26, 2016
    • Advisory employees · 3 to 2
      Mar 31, 2015 to Jan 26, 2016
    • Employees · 14 to 13
      Mar 31, 2015 to Jan 26, 2016
    • State-registered IARs · 3 to 2
      Mar 31, 2015 to Jan 26, 2016
    • Discretionary RAUM · $0 to $76.2M
      Mar 31, 2015 to Jan 26, 2016
    • Non-discretionary RAUM · $1.0B to $1.1B
      Mar 31, 2015 to Jan 26, 2016
    • RAUM · $1.0B to $1.2B
      Mar 31, 2015 to Jan 26, 2016
    • Accounts · 59 to 84
      Aug 26, 2014 to Mar 31, 2015
    • Advisory activities · 5 to 6
      Aug 26, 2014 to Mar 31, 2015
    • Employees · 6 to 14
      Aug 26, 2014 to Mar 31, 2015
    • Financial planning clients · 1-10 to 11-25
      Aug 26, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $882M to $1.0B
      Aug 26, 2014 to Mar 31, 2015
    • RAUM · $882M to $1.0B
      Aug 26, 2014 to Mar 31, 2015
    • Accounts · 41 to 59
      Mar 31, 2014 to Aug 26, 2014
    • Advisory employees · 2 to 3
      Mar 31, 2014 to Aug 26, 2014
    • State-registered IARs · 2 to 3
      Mar 31, 2014 to Aug 26, 2014
    • Non-discretionary RAUM · $766M to $882M
      Mar 31, 2014 to Aug 26, 2014
    • RAUM · $766M to $882M
      Mar 31, 2014 to Aug 26, 2014
    • Accounts · 36 to 41
      Feb 24, 2014 to Mar 31, 2014
    • Employees · 3 to 6
      Feb 24, 2014 to Mar 31, 2014
    • Insurance-licensed employees · 1 to 0
      Feb 24, 2014 to Mar 31, 2014
    • Financial planning clients · 0 to 1-10
      Feb 24, 2014 to Mar 31, 2014
    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