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Asset manager (funds and pooled vehicles)SEC-registered· Huntingdon Valley, Pennsylvaniawebsite

Asset manager (funds and pooled vehicles), based in Huntingdon Valley, Pennsylvania, reporting $108M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$108M
Form ADV
Advisors
0
IAPD
Net advisor flow, 12 months
Not established
RAUM change, last fiscal year
-16%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 307155 · SEC 801-118171 · 10 filingsShow
CRD 307155SEC 801-118171First filing on the tape Feb 4, 2020, latest Mar 27, 2026SEC status approved since Mar 5, 2020IAPD
RAUM
$108M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$108M as of Mar 27, 2026
Mar 16, 2021$352M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 16, 20210 then
Employees (5.A)3 as of Mar 27, 2026
Mar 16, 20213 then
Private funds: no history
RAUM -16% over the last fiscal year-10% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
RAUM per advisor
$54.0MderivedRAUM 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
$108MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-16%derivedbetween 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 investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$108M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
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
      • B••••••••• M••••••• J••• · Chief Compliance Officercontrol
        since 10/2019 · owns 5% to 10%
      • F•••••• S••••• J••••••• · Managing Membercontrol
        since 10/2019 · owns 75% or more
      • F•••••••• K••••• P•••••• · Member
        since 05/2020 · owns 5% to 10%
      Entity owners
      • M••••••• C••••••••• L•• · Member
        direct · owns 5% to 10%
      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
      • BD registered reps · 3 to 1
        Mar 11, 2025 to Mar 27, 2026
      • Insurance-licensed employees · 0 to 2
        Mar 11, 2025 to Mar 27, 2026
      • State-registered IARs · 0 to 2
        Mar 11, 2025 to Mar 27, 2026
      • Discretionary RAUM · $129M to $108M
        Mar 11, 2025 to Mar 27, 2026
      • RAUM · $129M to $108M
        Mar 11, 2025 to Mar 27, 2026
      • Accounts · 3 to 1
        Mar 5, 2024 to Mar 11, 2025
      • BD registered reps · 4 to 3
        Mar 5, 2024 to Mar 11, 2025
      • Employees · 4 to 3
        Mar 5, 2024 to Mar 11, 2025
      • Financial planning clients · unset to
        Mar 5, 2024 to Mar 11, 2025
      • Discretionary RAUM · $133M to $129M
        Mar 5, 2024 to Mar 11, 2025
      • RAUM · $133M to $129M
        Mar 5, 2024 to Mar 11, 2025
      • Discretionary RAUM · $0 to $133M
        Oct 25, 2023 to Mar 5, 2024
      • Non-discretionary RAUM · $150M to $0
        Oct 25, 2023 to Mar 5, 2024
      • RAUM · $150M to $133M
        Oct 25, 2023 to Mar 5, 2024
      • Accounts · 4 to 3
        Mar 10, 2022 to Mar 21, 2023
      • Advisory employees · 4 to 2
        Mar 10, 2022 to Mar 21, 2023
      • BD registered reps · 2 to 4
        Mar 10, 2022 to Mar 21, 2023
      • Non-discretionary RAUM · $355M to $150M
        Mar 10, 2022 to Mar 21, 2023
      • RAUM · $355M to $150M
        Mar 10, 2022 to Mar 21, 2023
      • Advisory employees · 3 to 4
        Mar 16, 2021 to Mar 10, 2022
      • BD registered reps · 3 to 2
        Mar 16, 2021 to Mar 10, 2022
      • Employees · 3 to 4
        Mar 16, 2021 to Mar 10, 2022
      • Non-discretionary RAUM · $352M to $355M
        Mar 16, 2021 to Mar 10, 2022
      • RAUM · $352M to $355M
        Mar 16, 2021 to Mar 10, 2022
      • Accounts · 1 to 4
        Aug 26, 2020 to Mar 16, 2021
      • Discretionary RAUM · $2.5M to $0
        Aug 26, 2020 to Mar 16, 2021
      • Non-discretionary RAUM · $0 to $352M
        Aug 26, 2020 to Mar 16, 2021
      • RAUM · $2.5M to $352M
        Aug 26, 2020 to Mar 16, 2021
      • Accounts · 0 to 1
        Feb 4, 2020 to Jun 30, 2020
      • Discretionary RAUM · $0 to $2.5M
        Feb 4, 2020 to Jun 30, 2020
      • RAUM · $0 to $2.5M
        Feb 4, 2020 to Jun 30, 2020
      Signals
      2 dated events
      • ••• Locked
        Mar 21, 2023 · RAUM change · derived
      • ••• Locked
        Feb 4, 2020 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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