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

B••••• F•••••••• S••••••• C••••

Former SEC-registered adviserB•••••, PennsylvaniaCRD 35586SEC 801-56469IAPD
Latest filing Mar 20, 2014
First filing on the tape Mar 8, 2012 · 4 filings
RAUM
$12.4M
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
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$12.4M as of Mar 20, 2014
Mar 8, 2012$9.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2014
Mar 18, 20130 then
Employees (5.A)3 as of Mar 20, 2014
Mar 18, 20133 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2014; 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
$374,709derivedRAUM 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
+21%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 individualsreportedItem 5.G
Custody
$4.2M, 11 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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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
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
33reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$4.2M for 11 clientsreported
Compensation
% of AUMreported
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
    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
      • K•••••• E••••• A••••••• I• · Principal,Secretary,Director&Shareholdercontrol
        since 09/2005 · owns 25% to 50%
      • K•••••• R••••• E••••• · Director ,Shareholder & Officercontrol
        since 11/2002 · owns 25% to 50%
      • R•••• K•••• M•••••• · President,Chief Compliance Officer,Director& Shareholdercontrol
        since 12/2004 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 34 to 33
        Dec 19, 2013 to Mar 20, 2014
      • Assets in custody · $3.5M to $4.2M
        Dec 19, 2013 to Mar 20, 2014
      • Discretionary RAUM · $10.2M to $12.4M
        Dec 19, 2013 to Mar 20, 2014
      • RAUM · $10.2M to $12.4M
        Dec 19, 2013 to Mar 20, 2014
      • BD registered reps · unset to 3.0
        Mar 8, 2012 to Mar 18, 2013
      • Assets in custody · $3.5M to $3.5M
        Mar 8, 2012 to Mar 18, 2013
      • Employees · unset to 3.0
        Mar 8, 2012 to Mar 18, 2013
      • State-registered IARs · unset to 0.0
        Mar 8, 2012 to Mar 18, 2013
      • Discretionary RAUM · $9.1M to $10.2M
        Mar 8, 2012 to Mar 18, 2013
      • RAUM · $9.1M to $10.2M
        Mar 8, 2012 to Mar 18, 2013
      Signals
      No event on the tape.
      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