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

A••••• W••••• M••••••••• L••

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 165268SEC 801-77147IAPD
Latest filing Feb 8, 2019
First filing on the tape Sep 10, 2012 · 20 filings
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$185M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$187M as of Feb 8, 2019
Mar 4, 2013$169M then
HNW client RAUM$162M as of Feb 8, 2019
Feb 16, 2018$163M then
State-registered IARs (5.B.3)1 as of Feb 8, 2019
Mar 4, 20133 then
Employees (5.A)3 as of Feb 8, 2019
Mar 4, 20135 then
Private funds: no history
RAUM -2.5% over the last fiscal year-4.0% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Feb 8, 2019; every figure names its basis
RAUM per advisor
$187MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
106derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$648,596derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.5%derivedbetween the last two annual amendments
Advisor growth, one year
-50%derivedItem 5.B.3 between annual amendments
Client growth, one year
-48%derived
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
  • 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)
  • compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$162M87%
  • Individuals$22.7M12%
  • Corporations and businesses$2.3M1.2%
Individual clients
60reported
HNW clients
46reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
289reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Y••••• A•••• G•••••• · Elected Membercontrol
    since 01/2015 · owns less than 5%
  • Y••••• A•••• G•••••• · Ownercontrol
    since 01/2015 · owns F of M•• V•••• C••••••• L••
  • C••••• V•••• N•• · Chief Compliance Officer
    since 08/2012 · owns less than 5%
Entity owners
  • M•• V•••• C••••••• L•• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 376 to 289
    Apr 18, 2018 to Feb 8, 2019
  • Advisory employees · 2 to 1
    Apr 18, 2018 to Feb 8, 2019
  • BD registered reps · 2 to 1
    Apr 18, 2018 to Feb 8, 2019
  • Charity clients · unset to 0.0
    Apr 18, 2018 to Feb 8, 2019
  • HNW clients · 82 to 46
    Apr 18, 2018 to Feb 8, 2019
  • Individual clients · 121 to 60
    Apr 18, 2018 to Feb 8, 2019
  • Pension plan clients · unset to 0.0
    Apr 18, 2018 to Feb 8, 2019
  • Pooled vehicle clients · unset to 0.0
    Apr 18, 2018 to Feb 8, 2019
  • Employees · 4 to 3
    Apr 18, 2018 to Feb 8, 2019
  • State-registered IARs · 2 to 1
    Apr 18, 2018 to Feb 8, 2019
  • Discretionary RAUM · $192M to $187M
    Apr 18, 2018 to Feb 8, 2019
  • HNW RAUM · $163M to $162M
    Apr 18, 2018 to Feb 8, 2019
  • Individual RAUM · $26.8M to $22.7M
    Apr 18, 2018 to Feb 8, 2019
  • Pension RAUM · $1.1M to $0
    Apr 18, 2018 to Feb 8, 2019
  • Pooled vehicle RAUM · unset to 0.0
    Apr 18, 2018 to Feb 8, 2019
  • RAUM · $192M to $187M
    Apr 18, 2018 to Feb 8, 2019
  • Wrap assets (manager) · 5086201.0 to unset
    Apr 18, 2018 to Feb 8, 2019
  • Wrap assets (sponsor) · 0.0 to unset
    Apr 18, 2018 to Feb 8, 2019
  • Individual RAUM · unset to 26789944.0
    Sep 22, 2017 to Feb 16, 2018
  • Pension RAUM · unset to 1064005.0
    Sep 22, 2017 to Feb 16, 2018
  • RAUM · $167M to $192M
    Sep 22, 2017 to Feb 16, 2018
  • Wrap assets (manager) · unset to 5086201.0
    Sep 22, 2017 to Feb 16, 2018
  • Wrap assets (sponsor) · unset to 0.0
    Sep 22, 2017 to Feb 16, 2018
  • Accounts · 300 to 376
    Sep 22, 2017 to Feb 16, 2018
  • HNW clients · unset to 82.0
    Sep 22, 2017 to Feb 16, 2018
  • Individual clients · unset to 121.0
    Sep 22, 2017 to Feb 16, 2018
  • Employees · 6 to 4
    Sep 22, 2017 to Feb 16, 2018
  • Other offices · unset to 0.0
    Sep 22, 2017 to Feb 16, 2018
  • Discretionary RAUM · $167M to $192M
    Sep 22, 2017 to Feb 16, 2018
  • HNW RAUM · unset to 162720214.0
    Sep 22, 2017 to Feb 16, 2018
  • Accounts · 321 to 300
    May 23, 2016 to Mar 21, 2017
  • Advisory employees · 3 to 2
    May 23, 2016 to Mar 21, 2017
  • BD registered reps · 3 to 2
    May 23, 2016 to Mar 21, 2017
  • State-registered IARs · 3 to 2
    May 23, 2016 to Mar 21, 2017
  • Discretionary RAUM · $212M to $167M
    May 23, 2016 to Mar 21, 2017
  • RAUM · $212M to $167M
    May 23, 2016 to Mar 21, 2017
  • Accounts · 299 to 321
    Apr 23, 2015 to Mar 22, 2016
  • Employees · 5 to 6
    Apr 23, 2015 to Mar 22, 2016
  • Insurance-licensed employees · 1 to 0
    Apr 23, 2015 to Mar 22, 2016
  • Discretionary RAUM · $199M to $212M
    Apr 23, 2015 to Mar 22, 2016
Signals
1 dated events
  • A••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 10, 2012 · First SEC registration · 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