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

Q••••••• P•••••• W•••••• L••

Former SEC-registered adviserBethlehem, PennsylvaniaCRD 169609SEC 801-78787IAPD
Latest filing Mar 26, 2015
First filing on the tape Nov 4, 2013 · 7 filings
RAUM
$500M
reported, Item 5.F
Discretionary
94%
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
9
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: $500M
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 26, 2015
Mar 26, 20140 then
Employees (5.A)9 as of Mar 26, 2015
Mar 26, 20141 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 5
Practice profile
derived from the filing of Mar 26, 2015; every figure names its basis
RAUM per advisor
$100MderivedRAUM 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
$366,838derivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
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
1,363reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• B••••• C• · Chief Compliance Officer And Foundercontrol
        since 05/2014 · owns 10% to 25%
      • C•••• J••••• B••••• · Foundercontrol
        since 05/2014 · owns 10% to 25%
      • L•••••• K•••• R• · Founding Partnercontrol
        since 05/2014 · owns 10% to 25%
      • R••• H•••••• L•••••• · Foundercontrol
        since 05/2014 · owns 25% to 50%
      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 · 1,054 to 1,363
        Oct 23, 2014 to Mar 26, 2015
      • Advisory employees · 4 to 5
        Oct 23, 2014 to Mar 26, 2015
      • BD registered reps · 4 to 5
        Oct 23, 2014 to Mar 26, 2015
      • Employees · 5 to 9
        Oct 23, 2014 to Mar 26, 2015
      • Financial planning clients · 0 to 51-100
        Oct 23, 2014 to Mar 26, 2015
      • State-registered IARs · 4 to 5
        Oct 23, 2014 to Mar 26, 2015
      • Discretionary RAUM · $475M to $470M
        Oct 23, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $1.5M to $30.0M
        Oct 23, 2014 to Mar 26, 2015
      • RAUM · $477M to $500M
        Oct 23, 2014 to Mar 26, 2015
      • Accounts · 0 to 1,054
        May 2, 2014 to Oct 23, 2014
      • Business name · C•••• A•••••••• L•• to Q••••••• P•••••• W•••••• L••
        May 2, 2014 to Oct 23, 2014
      • Legal name · C•••• A•••••••• L•• to Q••••••• P•••••• W•••••• L••
        May 2, 2014 to Oct 23, 2014
      • Discretionary RAUM · $0 to $475M
        May 2, 2014 to Oct 23, 2014
      • Non-discretionary RAUM · $0 to $1.5M
        May 2, 2014 to Oct 23, 2014
      • RAUM · $0 to $477M
        May 2, 2014 to Oct 23, 2014
      • Succession · true to false
        May 2, 2014 to Oct 23, 2014
      • Accounts · unset to 0.0
        Mar 26, 2014 to May 2, 2014
      • Advisory employees · 0 to 4
        Mar 26, 2014 to May 2, 2014
      • Advisory activities · 1 to 4
        Mar 26, 2014 to May 2, 2014
      • BD registered reps · 1 to 4
        Mar 26, 2014 to May 2, 2014
      • Employees · 1 to 5
        Mar 26, 2014 to May 2, 2014
      • Insurance-licensed employees · 1 to 0
        Mar 26, 2014 to May 2, 2014
      • Financial planning clients · unset to 0
        Mar 26, 2014 to May 2, 2014
      • HQ city · ALBANY to BETHLEHEM
        Mar 26, 2014 to May 2, 2014
      • HQ state · NY to PA
        Mar 26, 2014 to May 2, 2014
      • State-registered IARs · 0 to 4
        Mar 26, 2014 to May 2, 2014
      • Discretionary RAUM · unset to 0.0
        Mar 26, 2014 to May 2, 2014
      • Non-discretionary RAUM · unset to 0.0
        Mar 26, 2014 to May 2, 2014
      • RAUM · unset to 0.0
        Mar 26, 2014 to May 2, 2014
      • Related adviser · true to false
        Mar 26, 2014 to May 2, 2014
      • Related broker-dealer · true to false
        Mar 26, 2014 to May 2, 2014
      • Succession · false to true
        May 2, 2014 to May 2, 2014
      Signals
      2 dated events
      • C•••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 2, 2014 · Succession (Item 4) · fact
      • C•••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 4, 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