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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SEC-registered adviser
M•••••• A••••••• L••
Wealth manager with institutional or fund businessBala Cynwyd, PennsylvaniaCRD 161408SEC 801-73417IAPD
Latest filing Mar 27, 2026
First filing on the tape Feb 13, 2012 · 27 filings
SEC status approved since Feb 28, 2012
RAUM
$321M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
27%
$86.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$321M as of Mar 27, 2026
Mar 20, 2013$220M then
HNW client RAUM$86.9M as of Mar 27, 2026
Mar 28, 2018$128M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 20, 20130 then
Employees (5.A)4 as of Mar 27, 2026
Mar 20, 20133 then
Private funds2 as of Mar 27, 2026
Mar 20, 20131 then
RAUM +5.2% over the last fiscal year+4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $17.4MderivedHNW RAUM over HNW clients
- Average account
- $45.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $230M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$234M73%
- High-net-worth individuals$86.9M27%
- Individual clients
- 0reported
- HNW clients
- 5reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $230M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.27 fund_share=0.73 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M•••••• G•••• L• | Hedge Fund | $175M | 60 | Feb 13, 2012 |
| M•••••• 1••• L••• | Other Private Fund | $54.3M | 30 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• P•••• · Member, President,Chief Compliance Officercontrolsince 11/2002 · owns 75% or more
Related persons
Schedule D 7.A
- M•••••• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $221M to $230MMar 28, 2025 to Mar 27, 2026
- Employees · 3 to 4Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $296M to $312MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $84.1M to $86.9MMar 28, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $9.0M to $8.5MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $221M to $234MMar 28, 2025 to Mar 27, 2026
- RAUM · $305M to $321MMar 28, 2025 to Mar 27, 2026
- Assets in custody · $229M to $221MJun 12, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jun 12, 2024 to Mar 28, 2025
- Discretionary RAUM · $297M to $296MJun 12, 2024 to Mar 28, 2025
- HNW RAUM · $74.5M to $84.1MJun 12, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $6.8M to $9.0MJun 12, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $229M to $221MJun 12, 2024 to Mar 28, 2025
- RAUM · $303M to $305MJun 12, 2024 to Mar 28, 2025
- Accounts · 6 to 7May 1, 2023 to Mar 29, 2024
- HNW clients · 4 to 5May 1, 2023 to Mar 29, 2024
- Assets in custody · $227M to $229MMay 1, 2023 to Mar 29, 2024
- Discretionary RAUM · $284M to $297MMay 1, 2023 to Mar 29, 2024
- HNW RAUM · $56.3M to $74.5MMay 1, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $6.8MMay 1, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $227M to $229MMay 1, 2023 to Mar 29, 2024
- RAUM · $284M to $303MMay 1, 2023 to Mar 29, 2024
- Accounts · 5 to 6Mar 30, 2022 to Mar 30, 2023
- Pooled vehicle clients · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Assets in custody · $219M to $227MMar 30, 2022 to Mar 30, 2023
- Private funds · 1 to 2Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $292M to $284MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $73.2M to $56.3MMar 30, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $219M to $227MMar 30, 2022 to Mar 30, 2023
- RAUM · $292M to $284MMar 30, 2022 to Mar 30, 2023
- Accounts · 6 to 5Mar 25, 2021 to Mar 30, 2022
- HNW clients · 5 to 4Mar 25, 2021 to Mar 30, 2022
- Assets in custody · $184M to $219MMar 25, 2021 to Mar 30, 2022
- Discretionary RAUM · $248M to $292MMar 25, 2021 to Mar 30, 2022
- HNW RAUM · $64.1M to $73.2MMar 25, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $184M to $219MMar 25, 2021 to Mar 30, 2022
- RAUM · $248M to $292MMar 25, 2021 to Mar 30, 2022
- Accounts · 7 to 6Jun 22, 2020 to Mar 25, 2021
- HNW clients · 6 to 5Jun 22, 2020 to Mar 25, 2021
- Assets in custody · $208M to $184MJun 22, 2020 to Mar 25, 2021
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
- Principal office phone
- 484-434-2258reportedpublic record, Form ADV, Mar 27, 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
- Wealth manager with institutional or fund businessderiveda 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