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

S••••••• R••• R••••••••• S••••••••• L••

Former SEC-registered adviserBryn Mawr, PennsylvaniaCRD 172353SEC 801-80175IAPD
Latest filing Mar 31, 2022
First filing on the tape Jul 31, 2014 · 15 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
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$4.7M as of Mar 13, 2018
Mar 25, 2015$1.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 25, 20154 then
Employees (5.A)4 as of Mar 31, 2022
Mar 25, 20155 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2022; 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
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
  • 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
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
      • D•••• A•••••• M••••• · Cco And Coocontrol
        since 02/2020 · owns less than 5%
      • P•••• B••••••• C•••••• · Presidentcontrol
        since 06/2014 · owns less than 5%
      • S••••• A•••••• A••••••• · Chief Executive Officercontrol
        since 03/2018 · owns less than 5%
      • P•••• B••••••• C•••••• · Managing Membercontrol
        since 06/2013 · owns 50% to 75% of S••••••• R••• F•••••••• P•••••••• L••
      Entity owners
      • S••••••• R••• F•••••••• P•••••••• L•• · Direct Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · S••••••• R••• F••• M••••••••• to S••••••• R••• R••••••••• S••••••••• L••
        Apr 13, 2021 to Mar 31, 2022
      • Legal name · S••••••• R••• F••• M••••••••• to S••••••• R••• R••••••••• S••••••••• L••
        Apr 13, 2021 to Mar 31, 2022
      • Related broker-dealer · true to false
        Apr 13, 2021 to Mar 31, 2022
      • Advisory employees · 3 to 1
        Mar 30, 2020 to Apr 13, 2021
      • Employees · 3 to 4
        Mar 30, 2020 to Apr 13, 2021
      • Succession · true to false
        Mar 30, 2020 to Apr 13, 2021
      • Other offices · 1 to 0
        Mar 29, 2019 to Mar 30, 2020
      • Organization form · Other (specify) to Limited Liability Company
        Mar 29, 2019 to Mar 30, 2020
      • Succession · false to true
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 1.0 to unset
        Mar 13, 2018 to Mar 29, 2019
      • Advisory employees · 4 to 3
        Mar 13, 2018 to Mar 29, 2019
      • BD registered reps · 4 to 3
        Mar 13, 2018 to Mar 29, 2019
      • Employees · 4 to 3
        Mar 13, 2018 to Mar 29, 2019
      • Discretionary RAUM · 4693091.0 to unset
        Mar 13, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Mar 13, 2018 to Mar 29, 2019
      • RAUM · 4693091.0 to unset
        Mar 13, 2018 to Mar 29, 2019
      • Advisory employees · 3 to 4
        Mar 10, 2017 to Mar 13, 2018
      • BD registered reps · 2 to 4
        Mar 10, 2017 to Mar 13, 2018
      • State-registered IARs · 2 to 0
        Mar 10, 2017 to Mar 13, 2018
      • Other offices · unset to 1.0
        Mar 10, 2017 to Mar 13, 2018
      • Discretionary RAUM · $4.9M to $4.7M
        Mar 10, 2017 to Mar 13, 2018
      • RAUM · $4.9M to $4.7M
        Mar 10, 2017 to Mar 13, 2018
      • BD registered reps · 0 to 2
        Jan 30, 2017 to Mar 10, 2017
      • State-registered IARs · 0 to 2
        Jan 30, 2017 to Mar 10, 2017
      • Discretionary RAUM · $3.6M to $4.9M
        Jan 30, 2017 to Mar 10, 2017
      • RAUM · $3.6M to $4.9M
        Jan 30, 2017 to Mar 10, 2017
      • HQ city · RADNOR to BRYN MAWR
        Apr 29, 2016 to Jan 6, 2017
      • Employees · 5 to 4
        Nov 13, 2015 to Mar 15, 2016
      • Discretionary RAUM · $3.8M to $3.6M
        Nov 13, 2015 to Mar 15, 2016
      • RAUM · $3.8M to $3.6M
        Nov 13, 2015 to Mar 15, 2016
      • Advisory employees · 2 to 3
        Mar 25, 2015 to Nov 13, 2015
      • BD registered reps · 3 to 0
        Mar 25, 2015 to Nov 13, 2015
      • Insurance-licensed employees · 3 to 0
        Mar 25, 2015 to Nov 13, 2015
      • State-registered IARs · 4 to 0
        Mar 25, 2015 to Nov 13, 2015
      • Discretionary RAUM · $1.7M to $3.8M
        Mar 25, 2015 to Nov 13, 2015
      • RAUM · $1.7M to $3.8M
        Mar 25, 2015 to Nov 13, 2015
      • Accounts · 0 to 1
        Jul 31, 2014 to Mar 25, 2015
      • BD registered reps · 1 to 3
        Jul 31, 2014 to Mar 25, 2015
      • Employees · 4 to 5
        Jul 31, 2014 to Mar 25, 2015
      • State-registered IARs · 3 to 4
        Jul 31, 2014 to Mar 25, 2015
      Signals
      4 dated events
      • A••••• M•••••• H••••••• (Chief Compliance Officer) no longer on Schedule A of S••••••• R••• R••••••••• S••••••••• L•• (listed 2021-04-13, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Mclean Andrew Daly (Chief Operating Officer) appeared on Schedule A of S••••••• R••• R••••••••• S••••••••• L••
        Apr 13, 2021 · Control person joined · fact
      • S••••••• R••• F••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 30, 2020 · Succession (Item 4) · fact
      • S••••••• R••• F••• M••••••••• filed its initial SEC registration (Form ADV)
        Jul 31, 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