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

G••••••• C•••••• P••••••• M••••••••• C•••••••••

Former SEC-registered adviserWayne, PennsylvaniaCRD 161502SEC 801-100465IAPD
Latest filing Mar 31, 2022
First filing on the tape Jun 26, 2015 · 10 filings
RAUM
$469M
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
16
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
$469M gross assets
History
10 filings and snapshots on the tape
RAUM$469M as of Mar 31, 2022
Mar 28, 2016$201M then
HNW client RAUM$0 as of Mar 31, 2022
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 28, 20160 then
Employees (5.A)16 as of Mar 31, 2022
Mar 28, 20168 then
Private funds6 as of Mar 31, 2022
Mar 28, 20163 then
RAUM -26% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$78.1MderivedRAUM 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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
yesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$469M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, performancereported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••• C•••••• P••••••• F••• I• L•••Private Equity Fund$5.6M60Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• S••••• D•••••• · Managing Partnercontrol
        since 02/2008 · owns 25% to 50%
      • H••••••••• P••••• H•••• · Managing Partnercontrol
        since 02/2008 · owns 25% to 50%
      • K••••••••• H••• · Managing Partnercontrol
        since 02/2008 · owns 25% to 50%
      • S••••• J••••• L••• · Chief Compliance Officercontrol
        since 06/2015 · owns less than 5%
      • E••••• S••••• D•••••• · Membercontrol
        since 02/2008 · owns 25% to 50% of G••••••• C•••••• P•••••••• L••
      • H••••••••• P••••• H•••• · Membercontrol
        since 02/2008 · owns 25% to 50% of G••••••• C•••••• P•••••••• L••
      • K••••••••• H••• · Membercontrol
        since 02/2008 · owns 25% to 50% of G••••••• C•••••• P•••••••• L••
      Entity owners
      • G••••••• C•••••• P•••••••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • G••••••• C•••••• P••••••• G•• L•••
        pooled vehicle sponsorn
      • G••••••• C•••••• P••••••• I• G•• L•
        pooled vehicle sponsorn
      • G••••••• C•••••• P••••••• I•• L••
        pooled vehicle sponsorn
      • G••••••• C•••••• P••••••• I•• G•• L•••
        pooled vehicle sponsorn
      • G••••••• C•••••• P••••••• I••• L••
        pooled vehicle sponsorn
      • G••••••• C•••••• P•••••••• 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 · unset to 0.0
        Apr 9, 2021 to Mar 31, 2022
      • Custody of client assets · false to true
        Apr 9, 2021 to Mar 31, 2022
      • Employees · 19 to 16
        Apr 9, 2021 to Mar 31, 2022
      • Discretionary RAUM · $632M to $469M
        Apr 9, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $632M to $469M
        Apr 9, 2021 to Mar 31, 2022
      • RAUM · $632M to $469M
        Apr 9, 2021 to Mar 31, 2022
      • Advisory employees · 15 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 15 to 19
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $468M to $632M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $468M to $632M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $468M to $632M
        Mar 30, 2020 to Mar 31, 2021
      • Accounts · 3 to 6
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 12 to 15
        Mar 29, 2019 to Mar 30, 2020
      • Employees · 12 to 15
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $244M to $468M
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $244M to $468M
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $244M to $468M
        Mar 29, 2019 to Mar 30, 2020
      • Advisory employees · 8 to 12
        Dec 21, 2018 to Mar 29, 2019
      • Employees · 8 to 12
        Dec 21, 2018 to Mar 29, 2019
      • Private funds · 3 to 6
        Dec 21, 2018 to Mar 29, 2019
      • Discretionary RAUM · $194M to $244M
        Dec 21, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $194M to $244M
        Dec 21, 2018 to Mar 29, 2019
      • RAUM · $194M to $244M
        Dec 21, 2018 to Mar 29, 2019
      • Accounts · 2 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 9 to 8
        Mar 31, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · 113692126.0 to unset
        Mar 31, 2017 to Mar 28, 2018
      • Custody of client assets · true to false
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 9 to 8
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $210M to $194M
        Mar 31, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 193590220.0
        Mar 31, 2017 to Mar 28, 2018
      Signals
      4 dated events
      • G••••••• C•••••• P••••••• M••••••••• C••••••••• reported RAUM $468.8M, down 26% from $631.8M (2021-04-09 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • G••••••• C•••••• P••••••• M••••••••• C••••••••• reported RAUM $631.8M, up 35% from $468.0M (2020-03-30 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • G••••••• C•••••• P••••••• M••••••••• C••••••••• reported RAUM $468.0M, up 92% from $244.2M (2019-03-29 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • G••••••• C•••••• P••••••• M••••••••• C••••••••• filed its initial SEC registration (Form ADV)
        Jun 26, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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