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

A••••••• S••••••••• I• L••

Former SEC-registered adviserReston, VirginiaCRD 171591SEC 801-79859IAPD
Latest filing Jan 12, 2015
First filing on the tape May 28, 2014 · 8 filings
RAUM
$9.2M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$9.2M as of Jan 12, 2015
May 28, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 12, 2015
May 28, 20140 then
Employees (5.A)2 as of Jan 12, 2015
May 28, 20142 then
Private funds: no history
Practice profile
derived from the filing of Jan 12, 2015; 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
$575,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 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
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)
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
16reported
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
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••••••••• R•••••• A••••• · Managing Partner And Chief Investment Officercontrol
      since 05/2014 · owns less than 5%
    • H•••••• K••••• R•••••• · Executive Officer, Portfolio Managercontrol
      since 05/2014 · owns less than 5%
    • M••••••• S••••••• M•••• · Chief Compliance Officercontrol
      since 11/2014 · owns less than 5%
    • C••••••••• R•••••• A••••• · Membercontrol
      since 04/2014 · owns 25% to 50% of A••••••• G•••• H•••••••• L••
    • H•••••• K••••• R•••••• · Membercontrol
      since 04/2014 · owns 25% to 50% of A••••••• G•••• H•••••••• L••
    Entity owners
    • A••••••• G•••• H•••••••• L•• · Sole Member
      direct · owns 75% or more
    • S•••• W••••• M••••••••• L•• · Member
      indirect · owns 25% to 50% of A••••••• G•••• H•••••••• L••
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Wayne, PA
    What changed
    consecutive filings, newest first
    • Accounts · 5 to 16
      Sep 19, 2014 to Nov 25, 2014
    • HQ city · RADNOR to RESTON
      Sep 19, 2014 to Nov 25, 2014
    • HQ state · PA to VA
      Sep 19, 2014 to Nov 25, 2014
    • Discretionary RAUM · $1.7M to $9.2M
      Sep 19, 2014 to Nov 25, 2014
    • RAUM · $1.7M to $9.2M
      Sep 19, 2014 to Nov 25, 2014
    • Related adviser · false to true
      Sep 19, 2014 to Nov 25, 2014
    • Related broker-dealer · false to true
      Sep 19, 2014 to Nov 25, 2014
    • Accounts · 0 to 5
      May 28, 2014 to Jul 18, 2014
    • Discretionary RAUM · $0 to $1.7M
      May 28, 2014 to Jul 18, 2014
    • RAUM · $0 to $1.7M
      May 28, 2014 to Jul 18, 2014
    Signals
    1 dated events
    • A••••••• S••••••••• I• L•• filed its initial SEC registration (Form ADV)
      May 28, 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