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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SEC-registered adviser
X••••
Asset manager (funds and pooled vehicles)Philadelphia, PennsylvaniaCRD 314283SEC 801-122221websiteIAPD
Legal name X••••••• A••• S••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 2, 2021 · 11 filings
SEC status approved since Sep 1, 2021
RAUM
$92.3M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$92.3M as of Mar 31, 2026
Feb 8, 2022$79.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Feb 8, 20220 then
Employees (5.A)7 as of Mar 31, 2026
Feb 8, 20221 then
Private funds1 as of Mar 31, 2026
Feb 8, 20221 then
RAUM +0.0% over the last fiscal year+0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $92.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, 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
- +0.0%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $92.3M, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$92.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $92.3M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| X••••••• D•••••• O••••••••• F•••• L• | Private Equity Fund | $92.3M | 11 | Aug 2, 2021 |
Owners and control persons
Schedule A and B, latest filing
- B•••• W•••••••• T••• · Chairperson/Membercontrolsince 02/2021 · owns 10% to 25%
- C••••••• M•••••••• · Senior Managing Director/Membercontrolsince 02/2021 · owns 10% to 25%
- L••••• E••••••• G•••••• · Chief Financial Officercontrolsince 02/2021 · owns less than 5%
- S••••• S•••••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
- W•••••••• M••••••••• A••••••• · Chief Operating Officercontrolsince 02/2021 · owns less than 5%
- B•••• W•••••••• T••• · Trusteecontrolsince 12/2009 · owns F of T••• B•••• W••••••• R•••••••• T••••
- U•••••• J•••• · Trusteecontrolsince 12/2012 · owns F of X••••••• E••••••• S•••• O•••••••• P••• T••••
- O••• M•••••• · Managing Director & Chief Investment Officersince 09/2022 · owns less than 5%
- C••••••• M•••••••• · Managing Partnersince 07/2021 · owns F of I••••••• 7• V•••••••• L••
Entity owners
- I••••••• 7• V•••••••• L•• · Memberdirect · owns 10% to 25%
- T••• B•••• W••••••• R•••••••• T•••• · Memberdirect · owns 10% to 25%
- X•••••••• I••• · Memberdirect · owns 50% to 75%
- T••• B•••• W••••••• R•••••••• T•••• · Shareholderindirect · owns 50% to 75% of X•••••••• I•••
- X••••••• E••••••• S•••• O•••••••• P••• T•••• · Shareholderindirect · owns 25% to 50% of X•••••••• I•••
Related persons
Schedule D 7.A
- X••••••• A•••••••• L••pooled vehicle sponsory
- X••••••• LLCinvestment adviseryRAUM $24B
Advisers that list X•••• as a related person
- 111126 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 6 to 7Jan 9, 2026 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 8, 2025 to Nov 19, 2025
- Advisory employees · 2 to 3Mar 20, 2023 to Mar 19, 2024
- Assets in custody · $91.5M to $92.3MMar 20, 2023 to Mar 19, 2024
- Employees · 2 to 6Mar 20, 2023 to Mar 19, 2024
- Discretionary RAUM · $91.5M to $92.3MMar 20, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $91.5M to $92.3MMar 20, 2023 to Mar 19, 2024
- RAUM · $91.5M to $92.3MMar 20, 2023 to Mar 19, 2024
- Business name · X••••••• A••• S••••••••• L•• to X••••Mar 9, 2023 to Mar 20, 2023
- Advisory employees · 1 to 2Feb 8, 2022 to Mar 9, 2023
- Assets in custody · $79.4M to $91.5MFeb 8, 2022 to Mar 9, 2023
- Employees · 1 to 2Feb 8, 2022 to Mar 9, 2023
- Discretionary RAUM · $79.4M to $91.5MFeb 8, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $79.4M to $91.5MFeb 8, 2022 to Mar 9, 2023
- RAUM · $79.4M to $91.5MFeb 8, 2022 to Mar 9, 2023
- Accounts · 0 to 1Aug 2, 2021 to Jan 26, 2022
- Assets in custody · unset to 79363000.0Aug 2, 2021 to Jan 26, 2022
- Custody of client assets · false to trueAug 2, 2021 to Jan 26, 2022
- Discretionary RAUM · $0 to $79.4MAug 2, 2021 to Jan 26, 2022
- Pooled vehicle RAUM · $0 to $79.4MAug 2, 2021 to Jan 26, 2022
- RAUM · $0 to $79.4MAug 2, 2021 to Jan 26, 2022
Signals
1 dated events
- X••••••• A••• S••••••••• L•• filed its initial SEC registration (Form ADV)Aug 2, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Website
- x•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-567-1100reportedpublic record, Form ADV, Mar 31, 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