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

D••••••• I••••••••• A••••••• S•••••••

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 170659SEC 801-79364IAPD
Latest filing Jun 30, 2014
First filing on the tape Mar 7, 2014 · 3 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Mar 13, 2014
Mar 7, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Mar 7, 20140 then
Employees (5.A)4 as of Jun 30, 2014
Mar 7, 201461 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 30, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 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 assetsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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
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
n/areported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• P••••••• P••• · President/Directorcontrol
        since 02/2014 · owns less than 5%
      • M•••••• B••••• L••••••• · Svp/Chief Compliance Officercontrol
        since 02/2014 · owns less than 5%
      • O••••••• D•••• · Chief Legal Officer/Directorcontrol
        since 02/2014 · owns less than 5%
      • R••••• P•••••• N••••••• · Evp/Chief Administrative Oficercontrol
        since 02/2014 · owns less than 5%
      Entity owners
      • D••••••• I••••••••• F••• A•••••••• A• S••••• O• D••••••• M••••••••• B••••••• T•••• · Corporate Parent Of Registrant
        direct · owns 75% or more
      • D••••••• M••••••••• C••••••• I••• · Parent
        indirect · owns 75% or more of D••••••• I••••••••• F••• A•••••••• A• S••••• O• D••••••• M••••••••• B••••••• T••••
      • D••••••• M••••••••• H•••••••• I••• · Parent
        indirect · owns 75% or more of D••••••• M••••••••• C••••••• I•••
      • M•••••••• A••••••••• M••••••• •••• I••• · Parent
        indirect · owns 75% or more of D••••••• M••••••••• H•••••••• I•••
      • M•••••••• A••••••••• M••••••• H••••••• •••• I••• · Parent
        indirect · owns 75% or more of M•••••••• A••••••••• M••••••• •••• I•••
      • M•••••••• A••••••• H••••••• P•• L•••••• · Parent
        indirect · owns 75% or more of M•••••••• F•••••••• H••••••• •••• L••
      • M•••••••• B••• P•• L•••••• · Parent
        indirect · owns 75% or more of M•••••••• B••• L••••••
      • M•••••••• B••• L•••••• · Parent
        indirect · owns 75% or more of M•••••••• A••••••• H••••••• P•• L••••••
      • M•••••••• F• H••••••• I••• · Parent
        indirect · owns 75% or more of M•••••••• A••••••••• M••••••• H••••••• •••• I•••
      • M•••••••• F•••••••• H••••••• •••• L•• · Parent
        indirect · owns 75% or more of M•••••••• S•••••• •••• P•••••••
      • M•••••••• F•••••• H••••••• I••• · Parent
        indirect · owns 75% or more of M•••••••• F• H••••••• I•••
      • M•••••••• G•••• L•••••• · Parent
        indirect · owns 75% or more of M•••••••• B••• P•• L••••••
      • M•••••••• S•••••• •••• P••••••• · Parent
        indirect · owns 75% or more of M•••••••• F•••••• Holdings, Inc
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0.0 to unset
        Mar 13, 2014 to Jun 30, 2014
      • Advisory employees · 9 to 0
        Mar 13, 2014 to Jun 30, 2014
      • BD registered reps · 13 to 2
        Mar 13, 2014 to Jun 30, 2014
      • Employees · 61 to 4
        Mar 13, 2014 to Jun 30, 2014
      • Discretionary RAUM · 0.0 to unset
        Mar 13, 2014 to Jun 30, 2014
      • Non-discretionary RAUM · 0.0 to unset
        Mar 13, 2014 to Jun 30, 2014
      • RAUM · 0.0 to unset
        Mar 13, 2014 to Jun 30, 2014
      Signals
      1 dated events
      • D••••••• I••••••••• A••••••• S••••••• filed its initial SEC registration (Form ADV)
        Mar 7, 2014 · 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