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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SEC-registered adviser
C••••••••• T•••• M••••••••• S••••••• L••
Latest filing Mar 24, 2026
First filing on the tape May 6, 2014 · 21 filings
SEC status approved since May 23, 2014
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.1B as of Mar 24, 2026
Mar 27, 2015$830M then
HNW client RAUM$0 as of Mar 24, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 27, 20150 then
Employees (5.A)2 as of Mar 24, 2026
Mar 27, 20153 then
Private funds4 as of Mar 29, 2017
Mar 29, 20164 then
RAUM -7.0% over the last fiscal year+2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; 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
- $1.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- -7.0%derivedbetween 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
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••••• D••••••••• I••••• F••• L••no longer reported | Other Private Fund | $157M | 1 | Mar 29, 2016 |
| S•••••••• I•• D••••••••• G••••• F••• L••no longer reported | Other Private Fund | $55.9M | 1 | Mar 29, 2016 |
| S•••••••• I• D••••••••• I••••••••• F••• L••no longer reported | Other Private Fund | $32.5M | 1 | Mar 29, 2016 |
| M••••••• D••••••••• I••••• F••• L••no longer reported | Other Private Fund | $28.8M | 1 | Mar 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• W•••••• · Chief Investment Officercontrolsince 11/2022 · owns less than 5%
- D••••••• L••••• H• · Chief Executive Officer And Presidentcontrolsince 11/2022 · owns less than 5%
- S•••••• K••••• S•• · Chief People Officercontrolsince 08/2023 · owns less than 5%
- S•••••••• S•••• · Chief Financial Officer And Treasurercontrolsince 01/2024 · owns less than 5%
- T•••••••• L••••• · Cco, General Counsel, Secretarycontrolsince 02/2022 · owns less than 5%
Entity owners
- C••••••• M••••••••• S•••••••• L••••• · Sole Memberdirect · owns 75% or more
- C••••••••• F••••• S••••••• O• W••• V••••••• L•• · Sole Shareholderindirect · owns F of C••••••••• F••••• S••••••• O• W••• V••••••• S••••••••• I•••
- C••••••••• F••••• S••••••• O• W••• V••••••• S••••••••• I••• · Sole Memberindirect · owns 75% or more of H••••••• M••••••• P••• S••••••••• L••
- E•••••••• P••••• C•••• · Sole Shareholderindirect · owns 75% or more of S••••••• I•••
- H••••••• M••••••• P••• S••••••••• L•• · Sole Memberindirect · owns 75% or more of C••••••• M••••••••• S•••••••• L•••••
- S••••••• I••• · General Partnerindirect · owns F of S••••••• P••••••• L•••
- S••••••• O•••••••• L•• · Sole Memberindirect · owns F of C••••••••• F••••• S••••••• O• W••• V••••••• L••
- S••••••• P••••••• L••• · Sole Memberindirect · owns 75% or more of S••••••• O•••••••• L••
- S••••••• L• H•••••••• L•• · Sole Limited Partnerindirect · owns 75% or more of S••••••• P••••••• L•••
Related persons
Schedule D 7.A
- C••••••••• F••••• I•••••••• S•••••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (247 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: other advisers, $1B to $5B (247) · 0.0% percentile
What changed
consecutive filings, newest first
- Employees · 3 to 2Mar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $1.2B to $1.1BMar 21, 2025 to Mar 24, 2026
- RAUM · $1.2B to $1.1BMar 21, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to Mar 29, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $1000M to $1.2BMar 29, 2024 to Mar 21, 2025
- RAUM · $1000M to $1.2BMar 29, 2024 to Mar 21, 2025
- Advisory employees · 2 to 1Mar 25, 2024 to Mar 29, 2024
- Financial planning clients · unset to 1-10Mar 25, 2024 to Mar 29, 2024
- HQ city · BENSALEM to ALTAMONTE SPRINGSMar 25, 2024 to Mar 29, 2024
- HQ state · PA to FLMar 25, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $1.0B to $1000MMar 25, 2024 to Mar 29, 2024
- RAUM · $1.0B to $1000MMar 25, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $876M to $1.0BMar 31, 2022 to Mar 30, 2023
- RAUM · $876M to $1.0BMar 31, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $824M to $876MFeb 14, 2022 to Feb 23, 2022
- RAUM · $824M to $876MFeb 14, 2022 to Feb 23, 2022
- Non-discretionary RAUM · $783M to $824MFeb 3, 2021 to Mar 27, 2021
- RAUM · $783M to $824MFeb 3, 2021 to Mar 27, 2021
- HQ city · TREVOSE to BENSALEMMar 30, 2020 to Feb 3, 2021
- Advisory employees · 3 to 2Mar 29, 2019 to Mar 30, 2020
- Non-discretionary RAUM · $786M to $783MMar 29, 2019 to Mar 30, 2020
- RAUM · $786M to $783MMar 29, 2019 to Mar 30, 2020
- Related adviser · true to falseMar 29, 2019 to Mar 30, 2020
- Accounts · 3 to 1Mar 29, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $812M to $786MMar 29, 2018 to Mar 29, 2019
- RAUM · $812M to $786MMar 29, 2018 to Mar 29, 2019
- Accounts · 1,217 to 3Apr 26, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Private funds · 4 to unsetApr 26, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $796M to $812MApr 26, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Apr 26, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Apr 26, 2017 to Mar 29, 2018
Signals
8 dated events
- Ho Lilly Donohue (Chief Executive Officer And President) appeared on Schedule A of C••••••••• T•••• M••••••••• S••••••• L••Mar 29, 2024 · Control person joined · fact
- Sue Karen Sheean (Chief People Officer) appeared on Schedule A of C••••••••• T•••• M••••••••• S••••••• L••Mar 29, 2024 · Control person joined · fact
- W•••••• C•••••• (Chief Investment Officer) appeared on Schedule A of C••••••••• T•••• M••••••••• S••••••• L••Mar 29, 2024 · Control person joined · fact
- S•••• S••••••• (Chief Financial Officer And Treasurer) appeared on Schedule A of C••••••••• T•••• M••••••••• S••••••• L••Mar 29, 2024 · Control person joined · fact
- L••••• T••••••• (Chief Compliance Officer, Secretary) appeared on Schedule A of C••••••••• T•••• M••••••••• S••••••• L••Feb 14, 2022 · Control person joined · fact
- K••••••• A••••• So (Chief Compliance Officer, President, Secretary) no longer on Schedule A of C••••••••• T•••• M••••••••• S••••••• L•• (listed 2021-03-27, absent 2022-02-14)Feb 14, 2022 · Control person left · inference
- B Robert Hellman (Director) no longer on Schedule A of C••••••••• T•••• M••••••••• S••••••• L•• (listed 2019-03-29, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C••••••••• T•••• M••••••••• S••••••• L•• filed its initial SEC registration (Form ADV)May 6, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 215-826-2800reportedpublic record, Form ADV, Mar 24, 2026
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
- Other 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