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

C•••••• B••••• A•••••••• L••

Former SEC-registered adviserYardley, PennsylvaniaCRD 291598SEC 801-112298IAPD
Latest filing Mar 4, 2022
First filing on the tape Dec 13, 2017 · 17 filings
RAUM
$148M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
97%
$143M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$148M as of Mar 4, 2022
Mar 12, 2019$102M then
HNW client RAUM$72.9M as of Mar 4, 2022
Mar 12, 2019$4.8M then
State-registered IARs (5.B.3)2 as of Mar 4, 2022
Mar 12, 20192 then
Employees (5.A)3 as of Mar 4, 2022
Mar 12, 20194 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Mar 4, 2022; every figure names its basis
RAUM per advisor
$73.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
101derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$292,080derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$72.9M49%
  • Individuals$70.5M48%
  • Pension and profit-sharing plans$4.1M2.7%
Individual clients
153reported
HNW clients
48reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
505reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L••••••• G•••••• N••••••• · Managing Member & Chief Compliance Officercontrol
    since 12/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 494 to 505
    Dec 23, 2021 to Mar 4, 2022
  • HNW clients · 33 to 48
    Dec 23, 2021 to Mar 4, 2022
  • Individual clients · 164 to 153
    Dec 23, 2021 to Mar 4, 2022
  • Discretionary RAUM · $115M to $135M
    Dec 23, 2021 to Mar 4, 2022
  • HNW RAUM · $64.9M to $72.9M
    Dec 23, 2021 to Mar 4, 2022
  • Individual RAUM · $52.9M to $70.5M
    Dec 23, 2021 to Mar 4, 2022
  • Non-discretionary RAUM · $9.0M to $12.9M
    Dec 23, 2021 to Mar 4, 2022
  • Pension RAUM · $6.0M to $4.1M
    Dec 23, 2021 to Mar 4, 2022
  • RAUM · $124M to $148M
    Dec 23, 2021 to Mar 4, 2022
  • Employees · 4 to 3
    Nov 23, 2021 to Dec 23, 2021
  • Financial planning clients · 251-500 to 101-250
    Mar 16, 2021 to Sep 29, 2021
  • Other offices · 1 to 0
    Mar 16, 2021 to Sep 29, 2021
  • Accounts · 541 to 494
    Aug 5, 2020 to Mar 16, 2021
  • Charity clients · 1 to 0
    Aug 5, 2020 to Mar 16, 2021
  • HNW clients · 28 to 33
    Aug 5, 2020 to Mar 16, 2021
  • Individual clients · 181 to 164
    Aug 5, 2020 to Mar 16, 2021
  • Pension plan clients · 3 to 2
    Aug 5, 2020 to Mar 16, 2021
  • Financial planning clients · 101-250 to 251-500
    Aug 5, 2020 to Mar 16, 2021
  • Other offices · 0 to 1
    Aug 5, 2020 to Mar 16, 2021
  • Discretionary RAUM · $93.2M to $115M
    Aug 5, 2020 to Mar 16, 2021
  • HNW RAUM · $55.0M to $64.9M
    Aug 5, 2020 to Mar 16, 2021
  • Individual RAUM · $55.0M to $52.9M
    Aug 5, 2020 to Mar 16, 2021
  • Non-discretionary RAUM · $22.7M to $9.0M
    Aug 5, 2020 to Mar 16, 2021
  • Pension RAUM · $4.8M to $6.0M
    Aug 5, 2020 to Mar 16, 2021
  • RAUM · $116M to $124M
    Aug 5, 2020 to Mar 16, 2021
  • Accounts · 488 to 541
    Mar 14, 2019 to Mar 23, 2020
  • Charity clients · 0 to 1
    Mar 14, 2019 to Mar 23, 2020
  • HNW clients · 10 to 28
    Mar 14, 2019 to Mar 23, 2020
  • Individual clients · 2 to 181
    Mar 14, 2019 to Mar 23, 2020
  • Pension plan clients · 1 to 3
    Mar 14, 2019 to Mar 23, 2020
  • Financial planning clients · 0 to 101-250
    Mar 14, 2019 to Mar 23, 2020
  • Other offices · 1 to 0
    Mar 14, 2019 to Mar 23, 2020
  • Discretionary RAUM · $97.3M to $93.2M
    Mar 14, 2019 to Mar 23, 2020
  • HNW RAUM · $4.8M to $55.0M
    Mar 14, 2019 to Mar 23, 2020
  • Individual RAUM · $320,807 to $55.0M
    Mar 14, 2019 to Mar 23, 2020
  • Non-discretionary RAUM · $4.9M to $22.7M
    Mar 14, 2019 to Mar 23, 2020
  • Pension RAUM · $2.4M to $4.8M
    Mar 14, 2019 to Mar 23, 2020
  • RAUM · $102M to $116M
    Mar 14, 2019 to Mar 23, 2020
  • Accounts · 480 to 488
    Mar 1, 2019 to Mar 12, 2019
  • Charity clients · 1 to 0
    Mar 1, 2019 to Mar 12, 2019
Signals
1 dated events
  • C•••••• B••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Dec 13, 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