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

A•• P•••••• W••••• A•••••••• L••

Former SEC-registered adviserWest Conshohocken, PennsylvaniaCRD 323621SEC 801-126972IAPD
Latest filing Dec 2, 2024
First filing on the tape Oct 31, 2022 · 7 filings
RAUM
$98.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
40%
$39.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$98.2M as of Feb 21, 2024
Mar 20, 2023$103M then
HNW client RAUM$39.6M as of Feb 21, 2024
Mar 20, 2023$36.8M then
State-registered IARs (5.B.3)3 as of Feb 21, 2024
Mar 20, 20232 then
Employees (5.A)8 as of Feb 21, 2024
Mar 20, 20238 then
Private funds: no history
RAUM -4.5% over the last fiscal yearIARs 2 to 3offices 2 to 3
Practice profile
derived from the filing of Dec 2, 2024; every figure names its basis
RAUM per advisor
$32.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
1derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$13.2MderivedHNW RAUM over HNW clients
Average account
$1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-4.5%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$47.5M, 26 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$40.3M41%
  • High-net-worth individuals$39.6M40%
  • Charitable organizations$18.3M19%
Individual clients
0reported
HNW clients
3reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
71reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$47.5M for 26 clientsreported
Compensation
% of AUM, fixedreported
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
  • S••••••• M••••••• E••••• · Managercontrol
    since 07/2022 · owns less than 5%
  • S••••••• M••••••• E••••• · Member/Administrative Officer/Presidentcontrol
    since 07/2013 · owns 25% to 50% of A•• C•••••• M••••••••• L••
  • U•••••• A•••••• N•• · Trusteecontrol
    since 12/2009 · owns F of T•• A••••• U••••• 2••• T••••
  • U•••••• A•••••• N•• · Managercontrol
    since 11/2005 · owns F of A••• L••
  • S••••••• M••••••• E• · Chief Compliance Officer
    since 11/2024 · owns less than 5%
Entity owners
  • A•• C•••••• M••••••••• L•• · Member
    direct · owns 75% or more
  • A•• F••••• O••••• M••••••••• L•• · Member
    indirect · owns 50% to 75% of A•• C•••••• M••••••••• L••
  • A••• L•• · Member
    indirect · owns 75% or more of A•• F••••• O••••• M••••••••• L••
  • T•• A••••• U••••• 2••• T•••• · Sole Member
    indirect · owns 75% or more of A••• L••
Related persons
Schedule D 7.A
  • A•• C•••••• M••••••••• L••
    pooled vehicle sponsory
  • M•• W••••• M••••••••• L••
    investment advisern
  • N•••• Y•••• W••••• M••••••••• L••
    investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
West Conshohocken, Pa · principal000
Offices
Schedule D 1.F, the 25 largest
  • Mechanicsburg, PA2 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 100 to 71
    Oct 27, 2023 to Feb 21, 2024
  • Advisory employees · 2 to 3
    Oct 27, 2023 to Feb 21, 2024
  • Assets in custody · unset to 47486361.0
    Oct 27, 2023 to Feb 21, 2024
  • Custody of client assets · false to true
    Oct 27, 2023 to Feb 21, 2024
  • State-registered IARs · 2 to 3
    Oct 27, 2023 to Feb 21, 2024
  • Discretionary RAUM · $103M to $98.2M
    Oct 27, 2023 to Feb 21, 2024
  • HNW RAUM · $36.8M to $39.6M
    Oct 27, 2023 to Feb 21, 2024
  • RAUM · $103M to $98.2M
    Oct 27, 2023 to Feb 21, 2024
  • Other offices · 2 to 3
    Mar 20, 2023 to Jul 25, 2023
  • Accounts · 0 to 100
    Oct 31, 2022 to Mar 20, 2023
  • Advisory employees · 3 to 2
    Oct 31, 2022 to Mar 20, 2023
  • Charity clients · 0 to 1
    Oct 31, 2022 to Mar 20, 2023
  • HNW clients · 0 to 3
    Oct 31, 2022 to Mar 20, 2023
  • Assets in custody · 0.0 to unset
    Oct 31, 2022 to Mar 20, 2023
  • Custody of client assets · true to false
    Oct 31, 2022 to Mar 20, 2023
  • State-registered IARs · 3 to 2
    Oct 31, 2022 to Mar 20, 2023
  • Discretionary RAUM · $0 to $103M
    Oct 31, 2022 to Mar 20, 2023
  • HNW RAUM · $0 to $36.8M
    Oct 31, 2022 to Mar 20, 2023
  • RAUM · $0 to $103M
    Oct 31, 2022 to Mar 20, 2023
Signals
2 dated events
  • N••••••• S•••• Y••••• left A•• P•••••• W••••• A•••••••• L•• for Timonier (registered 2024-10-29)
    Dec 2, 2024 · Advisor changed firm · fact
  • A•• P•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Oct 31, 2022 · 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