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

R••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserWayne, PennsylvaniaCRD 20560SEC 801-35116IAPD
Latest filing Jul 29, 2015
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
$1.3B
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
12
6 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$1.3B as of Mar 19, 2015
Mar 27, 2012$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)6 as of Mar 19, 2015
Mar 27, 20120 then
Employees (5.A)12 as of Mar 19, 2015
Mar 19, 20139 then
Private funds: no history
RAUM -1.0% over the last fiscal year+9.0% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jul 29, 2015; every figure names its basis
RAUM per advisor
$222MderivedRAUM 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
$779,554derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.0%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$10.8M, 8 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.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
1,712reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$10.8M for 8 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
    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
      • H•••• E••• H••••• · Ceocontrol
        since 10/1986 · owns 50% to 75%
      • H•••• J•••• G••••••• · Secretary & Treasurercontrol
        since 08/1989 · owns less than 5%
      • M••••••• M••••••• N••••• · Presidentcontrol
        since 12/2013 · owns 10% to 25%
      • R••••••••• C•••• M•••••• · Senior Vice Presidentcontrol
        since 12/2013 · owns 5% to 10%
      • V••••••••• S••••••••• R••• · Chief Compliance Officercontrol
        since 07/2005 · owns less than 5%
      Related persons
      Schedule D 7.A
      • N••••••• A••••••• T•••• C•••••• F••
        custodiann
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,474 to 1,712
        Aug 21, 2014 to Mar 19, 2015
      • Assets in custody · $10.6M to $10.8M
        Aug 21, 2014 to Mar 19, 2015
      • Employees · 9 to 12
        Aug 21, 2014 to Mar 19, 2015
      • Financial planning clients · 26-50 to 11-25
        Aug 21, 2014 to Mar 19, 2015
      • Discretionary RAUM · $1.3B to $1.3B
        Aug 21, 2014 to Mar 19, 2015
      • RAUM · $1.3B to $1.3B
        Aug 21, 2014 to Mar 19, 2015
      • Accounts · 1,432 to 1,474
        Feb 27, 2014 to Mar 21, 2014
      • Assets in custody · $9.5M to $10.6M
        Feb 27, 2014 to Mar 21, 2014
      • Financial planning clients · 11-25 to 26-50
        Feb 27, 2014 to Mar 21, 2014
      • Discretionary RAUM · $1.1B to $1.3B
        Feb 27, 2014 to Mar 21, 2014
      • RAUM · $1.1B to $1.3B
        Feb 27, 2014 to Mar 21, 2014
      • Accounts · 1,323 to 1,432
        Mar 27, 2012 to Mar 19, 2013
      • Advisory employees · unset to 6.0
        Mar 27, 2012 to Mar 19, 2013
      • Assets in custody · $4.1M to $9.5M
        Mar 27, 2012 to Mar 19, 2013
      • Employees · unset to 9.0
        Mar 27, 2012 to Mar 19, 2013
      • State-registered IARs · 0 to 6
        Mar 27, 2012 to Mar 19, 2013
      • Discretionary RAUM · $1.0B to $1.1B
        Mar 27, 2012 to Mar 19, 2013
      • RAUM · $1.0B to $1.1B
        Mar 27, 2012 to Mar 19, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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