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

R••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserCanonsburg, PennsylvaniaCRD 169562SEC 801-78811IAPD
Latest filing Jun 30, 2020
First filing on the tape Nov 8, 2013 · 10 filings
RAUM
$330M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$294M 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
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$330M as of Mar 30, 2020
Mar 21, 2014$455M then
HNW client RAUM$288M as of Mar 30, 2020
Feb 15, 2018$339M then
State-registered IARs (5.B.3)2 as of Mar 30, 2020
Mar 21, 20143 then
Employees (5.A)4 as of Mar 30, 2020
Mar 21, 20144 then
Private funds: no history
RAUM -3.6% over the last fiscal year-4.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 2020; every figure names its basis
RAUM per advisor
$165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
74derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-3.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$288M87%
  • Charitable organizations$12.4M3.8%
  • Pension and profit-sharing plans$12.1M3.7%
  • Corporations and businesses$11.2M3.4%
  • Individuals$5.8M1.8%
Individual clients
23reported
HNW clients
124reported
Pension plan clients
7reported
Charitable clients
1reported
Accounts
160reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• D••••• R••••• · Chief Compliance Officercontrol
    since 10/2013 · owns less than 5%
  • R••• J••••••• A••• · Portfolio Manager / Analystcontrol
    since 10/2013 · 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 · 196 to 160
    Mar 28, 2019 to Mar 30, 2020
  • Charity clients · 3 to 1
    Mar 28, 2019 to Mar 30, 2020
  • Corporate clients · 7 to 5
    Mar 28, 2019 to Mar 30, 2020
  • HNW clients · 148 to 124
    Mar 28, 2019 to Mar 30, 2020
  • Individual clients · 28 to 23
    Mar 28, 2019 to Mar 30, 2020
  • Pension plan clients · 10 to 7
    Mar 28, 2019 to Mar 30, 2020
  • Discretionary RAUM · $342M to $330M
    Mar 28, 2019 to Mar 30, 2020
  • HNW RAUM · $295M to $288M
    Mar 28, 2019 to Mar 30, 2020
  • Individual RAUM · $6.5M to $5.8M
    Mar 28, 2019 to Mar 30, 2020
  • Pension RAUM · $13.5M to $12.1M
    Mar 28, 2019 to Mar 30, 2020
  • RAUM · $342M to $330M
    Mar 28, 2019 to Mar 30, 2020
  • Accounts · 207 to 196
    Feb 15, 2018 to Mar 28, 2019
  • Charity clients · 4 to 3
    Feb 15, 2018 to Mar 28, 2019
  • HNW clients · 158 to 148
    Feb 15, 2018 to Mar 28, 2019
  • Individual clients · 26 to 28
    Feb 15, 2018 to Mar 28, 2019
  • Pension plan clients · 12 to 10
    Feb 15, 2018 to Mar 28, 2019
  • Discretionary RAUM · $392M to $342M
    Feb 15, 2018 to Mar 28, 2019
  • HNW RAUM · $339M to $295M
    Feb 15, 2018 to Mar 28, 2019
  • Individual RAUM · $6.9M to $6.5M
    Feb 15, 2018 to Mar 28, 2019
  • Pension RAUM · $16.9M to $13.5M
    Feb 15, 2018 to Mar 28, 2019
  • RAUM · $392M to $342M
    Feb 15, 2018 to Mar 28, 2019
  • Accounts · 217 to 207
    Mar 28, 2017 to Feb 15, 2018
  • Advisory employees · 3 to 2
    Mar 28, 2017 to Feb 15, 2018
  • Charity clients · unset to 4.0
    Mar 28, 2017 to Feb 15, 2018
  • Corporate clients · unset to 7.0
    Mar 28, 2017 to Feb 15, 2018
  • HNW clients · unset to 158.0
    Mar 28, 2017 to Feb 15, 2018
  • Individual clients · unset to 26.0
    Mar 28, 2017 to Feb 15, 2018
  • Pension plan clients · unset to 12.0
    Mar 28, 2017 to Feb 15, 2018
  • Employees · 5 to 4
    Mar 28, 2017 to Feb 15, 2018
  • State-registered IARs · 3 to 2
    Mar 28, 2017 to Feb 15, 2018
  • Other offices · unset to 0.0
    Mar 28, 2017 to Feb 15, 2018
  • Discretionary RAUM · $378M to $392M
    Mar 28, 2017 to Feb 15, 2018
  • HNW RAUM · unset to 338550000.0
    Mar 28, 2017 to Feb 15, 2018
  • Individual RAUM · unset to 6900000.0
    Mar 28, 2017 to Feb 15, 2018
  • Pension RAUM · unset to 16850000.0
    Mar 28, 2017 to Feb 15, 2018
  • RAUM · $378M to $392M
    Mar 28, 2017 to Feb 15, 2018
  • Accounts · 233 to 217
    Mar 28, 2016 to Mar 28, 2017
  • Discretionary RAUM · $360M to $378M
    Mar 28, 2016 to Mar 28, 2017
  • RAUM · $360M to $378M
    Mar 28, 2016 to Mar 28, 2017
  • Accounts · 258 to 233
    Mar 27, 2015 to Mar 28, 2016
Signals
1 dated events
  • R••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 8, 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