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••••••••• W••••• P•••••••• L••
Latest filing Jul 11, 2017
First filing on the tape Apr 17, 2013 · 22 filings
RAUM
$426M
reported, Item 5.F
Discretionary
99%
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
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$426M as of Mar 30, 2017
Mar 28, 2014$346M then
HNW client RAUM: no history
State-registered IARs (5.B.3)12 as of Mar 30, 2017
Mar 28, 20140 then
Employees (5.A)16 as of Mar 30, 2017
Mar 28, 201425 then
Private funds: no history
RAUM +6.2% over the last fiscal year+7.2% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jul 11, 2017; every figure names its basis
- RAUM per advisor
- $35.5MderivedRAUM 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
- $435,087derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.2%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, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $167M, 436 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
- 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)
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
- 980reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 436 clientsreported
- 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
- F•••• V•••••• to C••••• F••••••••• I••••••••• A•••••••Feb 9, 2018 · Other
- A•••••••• J••• P••••• to R• A•••••••• • A••••••••• L••Jan 4, 2018 · Other
- R•••••• R••• A•••••••• to R• A•••••••• • A••••••••• L••Jan 4, 2018 · Other
- L••••• R••••• S••••• to W•••• F•••• A•••••••Jan 4, 2018 · Other
- N•••• I••••• K••• to D••• R••• • C••••••• L••Jan 4, 2018 · Other
- C•••••• J• H••• to S•••• F••• I••••••••• M••••••••• C••••Nov 2, 2017 · Other
- M••• A••••• L•••••• to V•••••• I••••••••• M•••••••••Oct 5, 2017 · Other
- R••••• G• S•••••••• to P•••••• F••••••••Jul 12, 2017 · Other
- A••••• S• W••••••• to W••••••••• A•••••••Apr 21, 2017 · Other
- M•••••• S••••••• N••••• to W••••••••• A•••••••Mar 10, 2017 · Other
- S•••••• G••••• to S••••• F•••••••• R•••••••• I••Nov 28, 2016 · Other
- J•••••• R• S•••••• to F•••• C•••••• A••••••• G••••• L••Nov 10, 2015 · Other
- J•••• D••••• H•••• to F•••• C•••••• A••••••• G••••• L••Nov 10, 2015 · Other
- W•••••• V••••• G••••••• to H•••• F••••••••Dec 17, 2014 · Other
Joined, latest
- C•••••• J• H••• from M••••• S••••••Oct 13, 2017 · Other
- F•••• V•••••• from N•••••••• B••••• B• L••Nov 18, 2016 · Other
- A••••• S• W••••••• from R••••••••• D••••• • M••••••••• I••Oct 17, 2016 · Other
- M••• A••••• L•••••• from S•••••• N••••••• • C••••••• I•••••••••Sep 19, 2016 · Other
- R••••• G• S•••••••• from P••• A••••• S••••••••• L••Sep 19, 2016 · Other
- R•••••• R••• A•••••••• from E•••• N••••••• S••••••••• I•••Apr 2, 2015 · Other
- N•••• I••••• K••• from F•••• C••••••••• F•••••••• A•••••••• I•••Apr 2, 2015 · Other
- S•••••• G••••• from M••••• W••••• P•••••••• L••Aug 6, 2014 · Other
- M•••••• S••••••• N••••• from N•••••••• B••••• B• L••Sep 13, 2013 · Other
- J•••••• R• S•••••• from M••••••Sep 13, 2013 · Other
- J•••• D••••• H•••• from M••••••Sep 13, 2013 · Other
- W•••••• V••••• G••••••• from M••••••Sep 13, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for R• A•••••••• • A••••••••• L••Jan 4, 2018 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• T••••• J••••• · Director, Global Operationscontrolsince 03/2013 · owns less than 5%
- B•••••• S••••• · Chief Financial Officercontrolsince 04/2015 · owns less than 5%
- B•••• J•••• M•••••• · Managing Directorcontrolsince 03/2013 · owns less than 5%
- D••• B••••• · Chief Operating Officercontrolsince 10/2015 · owns less than 5%
- H•••• S••••••• M•••••• · Chief Compliance Officercontrolsince 03/2017 · owns less than 5%
- M•••••••• S••••• P•••• · Chief Executive Officercontrolsince 03/2013 · owns less than 5%
- L••••••• H••••• W•••••• · Partnercontrolsince 09/1992 · owns 25% to 50% of C••••• F••••••••• L•••
- L••••••• H•••••• W•••••• · Shareholdercontrolsince 09/1992 · owns 75% or more of C• G•••• M••••••••• I•••
- M•••••• S••••••• M• · Exec. Managing Dir./General Counselsince 03/2013 · owns less than 5%
Entity owners
- C••••• F••••••••• W••••• P••••••• H•••••••• L•• · Member, Parent Companydirect · owns 75% or more
- C••••• F••••••••• S••••••••• · Member, Parent Companyindirect · owns 75% or more of C••••• F••••••••• W••••• P••••••• H•••••••• L••
- C••••• F••••••••• L••• · General Partnerindirect · owns 75% or more of C••• C•• I• H•••••••• L•••
- C• G•••• M••••••••• I••• · Managing Gpindirect · owns F of C••••• F••••••••• L•••
- C••• C•• I• H•••••••• L••• · General Partnerindirect · owns 75% or more of C••••• F••••••••• S•••••••••
Related persons
Schedule D 7.A
- A••••• B•••••• L••broker-dealern
- A••• S••••••••• L•••broker-dealern
- A•••• B••broker-dealern
- B•••• •••• P••••••• L••••••real estaten
- B•••• L••••••real estaten
- B•••• R• •••••• E•••• L••••••real estaten
- B•••• R• B••••• C•••••••• D• R••••••••• L•••real estaten
- B•••• S•••••• V• R•••••••• B••••••••• L••real estaten
- B•• B•••••• L•••broker-dealern
- B•• C•••••• M•••••• •••• K•••• L••••••broker-dealern
- B•• C•••••• M•••••• ••••••• L•• ••••• B••••••broker-dealern
- B•• C•••••• M•••••• • F•••••• E••••••• B••••• •••••• L••••••broker-dealern
- B•• D••••••••• M••••••• L•••CPO or CTAn
- B•• F••••••••• L•••broker-dealern
- B•• L••••••• D••••••••• D• T•••••• E• V•••••• M••••••••• L•••broker-dealern
- B•• P••••••• ••••••••• P•• L••••••broker-dealerCPO or CTAn
- B•• P••••••• ••••••••• L•••broker-dealern
- B•• P••••••• M••••• D••••••• A•••broker-dealern
- B•• P•••••••• I•••broker-dealern
- B•• S• F•••••••• B•••••• ••••••••• L••••••broker-dealern
- B•• S••••••••• ••••••••• P•• L••broker-dealern
- B•• S••••••••• •••• K•••• L••broker-dealern
- B•• S••••••••• ••••••••• L••••••broker-dealern
- B•• S••••• K••••• L•••broker-dealern
- C••••• C••••••••• L•••trust companyn
- C••••• C••••••••• A••••••••investment advisern
- C••••• F••••••••• •••• K•••• C•••••• M•••••• L••••••broker-dealern
- C••••• F••••••••• • C••broker-dealern
- C••••• F••••••••• C••••• C•••••••••broker-dealern
- C••••• F••••••••• E•••••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Conshohocken, PA
- Lansing, MI
- Pittsburgh, PA
- Yardley, PA
What changed
consecutive filings, newest first
- Accounts · 955 to 980Jul 27, 2016 to Mar 30, 2017
- Employees · 27 to 16Jul 27, 2016 to Mar 30, 2017
- Financial planning clients · 51-100 to 11-25Jul 27, 2016 to Mar 30, 2017
- Discretionary RAUM · $398M to $423MJul 27, 2016 to Mar 30, 2017
- Non-discretionary RAUM · $3.3M to $3.7MJul 27, 2016 to Mar 30, 2017
- RAUM · $401M to $426MJul 27, 2016 to Mar 30, 2017
- Assets in custody · $398M to $167MMar 30, 2016 to Jul 27, 2016
- Accounts · 1,457 to 955Nov 16, 2015 to Mar 30, 2016
- Advisory employees · 13 to 12Nov 16, 2015 to Mar 30, 2016
- Assets in custody · $698M to $398MNov 16, 2015 to Mar 30, 2016
- Employees · 36 to 27Nov 16, 2015 to Mar 30, 2016
- State-registered IARs · 13 to 12Nov 16, 2015 to Mar 30, 2016
- Discretionary RAUM · $678M to $398MNov 16, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $0 to $3.3MNov 16, 2015 to Mar 30, 2016
- RAUM · $678M to $401MNov 16, 2015 to Mar 30, 2016
- Accounts · 1,429 to 1,457May 15, 2015 to Nov 16, 2015
- Advisory employees · 20 to 13May 15, 2015 to Nov 16, 2015
- BD registered reps · 21 to 10May 15, 2015 to Nov 16, 2015
- Employees · 42 to 36May 15, 2015 to Nov 16, 2015
- State-registered IARs · 17 to 13May 15, 2015 to Nov 16, 2015
- Discretionary RAUM · $698M to $678MMay 15, 2015 to Nov 16, 2015
- RAUM · $698M to $678MMay 15, 2015 to Nov 16, 2015
- Accounts · 584 to 1,429Feb 13, 2015 to Mar 31, 2015
- Advisory employees · 24 to 20Feb 13, 2015 to Mar 31, 2015
- Assets in custody · $648M to $698MFeb 13, 2015 to Mar 31, 2015
- Employees · 39 to 42Feb 13, 2015 to Mar 31, 2015
- State-registered IARs · 16 to 17Feb 13, 2015 to Mar 31, 2015
- Discretionary RAUM · $648M to $698MFeb 13, 2015 to Mar 31, 2015
- RAUM · $648M to $698MFeb 13, 2015 to Mar 31, 2015
- Advisory employees · 18 to 24Nov 12, 2014 to Feb 13, 2015
- Advisory activities · 4 to 5Nov 12, 2014 to Feb 13, 2015
- BD registered reps · 15 to 21Nov 12, 2014 to Feb 13, 2015
- Employees · 33 to 39Nov 12, 2014 to Feb 13, 2015
- State-registered IARs · 10 to 16Nov 12, 2014 to Feb 13, 2015
- Accounts · 199 to 584Mar 28, 2014 to Nov 12, 2014
- Advisory employees · 11 to 18Mar 28, 2014 to Nov 12, 2014
- BD registered reps · 6 to 15Mar 28, 2014 to Nov 12, 2014
- Commission compensation · true to falseMar 28, 2014 to Nov 12, 2014
- Assets in custody · $346M to $648MMar 28, 2014 to Nov 12, 2014
- Employees · 25 to 33Mar 28, 2014 to Nov 12, 2014
Signals
1 dated events
- C••••• F••••••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2013 · ria f•••• adv filing · 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