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.

Former SEC-registered adviser

Federated International Securities Corp.

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 290173SEC 801-111953IAPD
Latest filing Apr 8, 2024
First filing on the tape Sep 28, 2017 · 14 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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 27, 2024
Mar 29, 20180 then
Employees (5.A)4 as of Mar 27, 2024
Mar 29, 201811 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 4offices 0 to 1
Practice profile
derived from the filing of Apr 8, 2024; 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
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
educational seminars, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • marketing includes hypothetical performance (5.L.3)
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
n/areported
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Peter Joseph Germain · Directorcontrol
      since 09/2017 · owns less than 5%
    • Richard Anthony Novak · Director, Sr. Vice President, Treasurercontrol
      since 09/2017 · owns less than 5%
    • Paul Adam Uhlman · Director, Chairman, Presidentcontrol
      since 03/2024 · owns less than 5%
    • Stephen Paul Van Meter · Chief Compliance Officercontrol
      since 09/2017 · owns less than 5%
    • Jeff Davis Jr Aronsohn · Compliance Officer
      since 04/2021 · owns less than 5%
    • Autumn Lynn Favero · Assistant Treasurer, Financial Operations Officer, Principal Financial Officer
      since 03/2024 · owns less than 5%
    • Kary Anne Moore · Secretary
      since 09/2017 · owns less than 5%
    • Frank Carl Senchak · Director
      since 09/2017 · owns less than 5%
    • Paul Jude Zuber · Senior Vice President
      since 01/2021 · owns less than 5%
    Entity owners
    • Fii Holdings, Inc. · Owner
      direct · owns 75% or more
    • Federated Hermes, Inc. · Owner
      indirect · owns 75% or more of Fii Holdings, Inc. · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Federated International Securities Corp. as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Pitsburgh, Pa000
    Pittsburgh, Pa · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • New York, NY1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 2 to 4
      Mar 29, 2023 to Mar 27, 2024
    • BD registered reps · 2 to 4
      Mar 29, 2023 to Mar 27, 2024
    • Employees · 2 to 4
      Mar 29, 2023 to Mar 27, 2024
    • Insurance-licensed employees · 2 to 4
      Mar 29, 2023 to Mar 27, 2024
    • State-registered IARs · 2 to 4
      Mar 29, 2023 to Mar 27, 2024
    • Other offices · 0 to 1
      Mar 29, 2023 to Mar 27, 2024
    • Other offices · 1 to 0
      Mar 27, 2020 to Mar 30, 2021
    • Advisory employees · 11 to 2
      Jul 25, 2019 to Mar 27, 2020
    • BD registered reps · 10 to 2
      Jul 25, 2019 to Mar 27, 2020
    • Employees · 11 to 2
      Jul 25, 2019 to Mar 27, 2020
    • Insurance-licensed employees · 10 to 2
      Jul 25, 2019 to Mar 27, 2020
    • Other offices · 2 to 1
      Jul 25, 2019 to Mar 27, 2020
    • BD registered reps · 9 to 10
      Jul 27, 2018 to Mar 29, 2019
    • State-registered IARs · 0 to 2
      Jul 27, 2018 to Mar 29, 2019
    • Other offices · 1 to 2
      Jul 27, 2018 to Mar 29, 2019
    • Other offices · 2 to 1
      Mar 29, 2018 to Jun 27, 2018
    • Advisory employees · 9 to 11
      Sep 28, 2017 to Mar 29, 2018
    • BD registered reps · 8 to 9
      Sep 28, 2017 to Mar 29, 2018
    • Employees · 9 to 11
      Sep 28, 2017 to Mar 29, 2018
    • Insurance-licensed employees · 8 to 10
      Sep 28, 2017 to Mar 29, 2018
    • State-registered IARs · 8 to 0
      Sep 28, 2017 to Mar 29, 2018
    • Other offices · unset to 2.0
      Sep 28, 2017 to Mar 29, 2018
    Signals
    5 dated events
    • Paul Adam Uhlman no longer registered at Federated International Securities Corp.; no later IA registration on IAPD
      Dec 31, 2024 · Advisor departure · fact
    • Gordon Joseph Ceresino (Director, Chairman, President) no longer on Schedule A of Federated International Securities Corp. (listed 2024-03-27, absent 2024-04-08)
      Apr 8, 2024 · Control person left · inference
    • Paul Adam Uhlman (Director, Chairman, President) appeared on Schedule A of Federated International Securities Corp.
      Apr 8, 2024 · Control person joined · fact
    • David Donald Gregoire no longer registered at Federated International Securities Corp.; no later IA registration on IAPD
      Dec 31, 2023 · Advisor departure · fact
    • Federated International Securities Corp. filed its initial SEC registration (Form ADV)
      Sep 28, 2017 · 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