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.
Former SEC-registered adviser
West Shore Group, LLC
Latest filing Mar 29, 2016
First filing on the tape Jun 3, 2013 · 9 filings
RAUM
$32.0M
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
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$32.0M as of Mar 29, 2016
Mar 31, 2014$42.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 29, 2016
Mar 31, 20144 then
Employees (5.A)4 as of Mar 29, 2016
Mar 31, 20144 then
Private funds: no history
RAUM -26% over the last fiscal yearIARs 4 to 3
Practice profile
derived from the filing of Mar 29, 2016; every figure names its basis
- RAUM per advisor
- $10.7MderivedRAUM 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
- $32.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -26%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- Stephen Frederick Cordasco to Wisdom Planning, LLCJul 25, 2016 · Other
Joined, latest
- Stephen Frederick Cordasco from Andrew Garrett, Inc.Jun 20, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Frederick Stephen Cordasco · Managing Membercontrolsince 05/2013 · owns 75% or more
- Vincent James Tate · Chief Compliance Officercontrolsince 02/2016 · owns less than 5%
Related persons
Schedule D 7.A
- Cordasco Financial Network, Inc.investment advisern
- Wisdom Planning, LLCinvestment advisern
Offices
Schedule D 1.F, the 25 largest
- Philadelphia, PA
What changed
consecutive filings, newest first
- Advisory employees · 4 to 2Mar 30, 2015 to Mar 29, 2016
- BD registered reps · 1 to 2Mar 30, 2015 to Mar 29, 2016
- Insurance-licensed employees · 3 to 2Mar 30, 2015 to Mar 29, 2016
- State-registered IARs · 4 to 3Mar 30, 2015 to Mar 29, 2016
- Discretionary RAUM · $43.0M to $32.0MMar 30, 2015 to Mar 29, 2016
- RAUM · $43.0M to $32.0MMar 30, 2015 to Mar 29, 2016
- Discretionary RAUM · $42.7M to $43.0MAug 6, 2014 to Mar 30, 2015
- RAUM · $42.7M to $43.0MAug 6, 2014 to Mar 30, 2015
- Employees · 5 to 4Feb 26, 2014 to Mar 31, 2014
- Insurance-licensed employees · 1 to 3Feb 26, 2014 to Mar 31, 2014
- State-registered IARs · 3 to 4Feb 26, 2014 to Mar 31, 2014
- Discretionary RAUM · $34.0M to $42.7MFeb 26, 2014 to Mar 31, 2014
- RAUM · $34.0M to $42.7MFeb 26, 2014 to Mar 31, 2014
- Accounts · 0 to 1Sep 24, 2013 to Feb 26, 2014
- Advisory employees · 1 to 4Sep 24, 2013 to Feb 26, 2014
- Employees · 2 to 5Sep 24, 2013 to Feb 26, 2014
- HQ city · PHILADELPHIA to HADDONFIELDSep 24, 2013 to Feb 26, 2014
- HQ state · PA to NJSep 24, 2013 to Feb 26, 2014
- State-registered IARs · 1 to 3Sep 24, 2013 to Feb 26, 2014
- Discretionary RAUM · $0 to $34.0MSep 24, 2013 to Feb 26, 2014
- RAUM · $0 to $34.0MSep 24, 2013 to Feb 26, 2014
Signals
1 dated events
- West Shore Group, Llc filed its initial SEC registration (Form ADV)Jun 3, 2013 · 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