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RIA Intelligence

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Former SEC-registered adviser

R•••••• W••••• M••••••••• L••

Former SEC-registered adviserBlue Bell, PennsylvaniaCRD 40130SEC 801-51127IAPD
Latest filing Mar 5, 2024
First filing on the tape Mar 2, 2012 · 21 filings
RAUM
$231M
reported, Item 5.F
Discretionary
33%
of RAUM
Private clients
100%
$231M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$231M as of Mar 5, 2024
Mar 2, 2012$170M then
HNW client RAUM$231M as of Mar 5, 2024
Mar 15, 2018$184M then
State-registered IARs (5.B.3)1 as of Mar 5, 2024
Jan 31, 20132 then
Employees (5.A)3 as of Mar 5, 2024
Jan 31, 20133 then
Private funds: no history
RAUM +4.8% over the last fiscal year+4.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 5, 2024; every figure names its basis
RAUM per advisor
$231MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$475,452derivedRAUM over accounts (5.F.2.f)
Discretionary
33%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$231M100%
Individual clients
n/areported
HNW clients
115reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
486reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
  • M••••• S••••• J•••••• · Managing Member/President/Chief Compliance Officercontrol
    since 07/2009 · owns less than 5%
  • M••••• S••••• J•••••• · Presidentcontrol
    since 03/2004 · owns 75% or more of R•••••• H••••••• I•••••••••
Entity owners
  • R•••••• H••••••• I••••••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • R•••••• A•••••••• L••
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 397 to 486
    Mar 21, 2023 to Mar 5, 2024
  • HNW clients · 129 to 115
    Mar 21, 2023 to Mar 5, 2024
  • Discretionary RAUM · $193M to $77.1M
    Mar 21, 2023 to Mar 5, 2024
  • HNW RAUM · $220M to $231M
    Mar 21, 2023 to Mar 5, 2024
  • Non-discretionary RAUM · $28.0M to $154M
    Mar 21, 2023 to Mar 5, 2024
  • RAUM · $220M to $231M
    Mar 21, 2023 to Mar 5, 2024
  • Accounts · 344 to 397
    Sep 27, 2022 to Mar 21, 2023
  • HNW clients · 85 to 129
    Sep 27, 2022 to Mar 21, 2023
  • Individual clients · 15.0 to unset
    Sep 27, 2022 to Mar 21, 2023
  • Financial planning clients · 51-100 to 101-250
    Sep 27, 2022 to Mar 21, 2023
  • Organization form · Limited Liability Partnership to Limited Liability Company
    Sep 27, 2022 to Mar 21, 2023
  • Discretionary RAUM · $186M to $193M
    Sep 27, 2022 to Mar 21, 2023
  • HNW RAUM · $201M to $220M
    Sep 27, 2022 to Mar 21, 2023
  • Individual RAUM · 15750312.0 to unset
    Sep 27, 2022 to Mar 21, 2023
  • Non-discretionary RAUM · $31.3M to $28.0M
    Sep 27, 2022 to Mar 21, 2023
  • RAUM · $217M to $220M
    Sep 27, 2022 to Mar 21, 2023
  • HQ city · BALA CYNWYD to BLUE BELL
    Mar 23, 2022 to Sep 27, 2022
  • Accounts · 393 to 344
    Dec 7, 2021 to Mar 23, 2022
  • HNW clients · 121 to 85
    Dec 7, 2021 to Mar 23, 2022
  • Individual clients · 16 to 15
    Dec 7, 2021 to Mar 23, 2022
  • Discretionary RAUM · $177M to $186M
    Dec 7, 2021 to Mar 23, 2022
  • HNW RAUM · $200M to $201M
    Dec 7, 2021 to Mar 23, 2022
  • Individual RAUM · $4.0M to $15.8M
    Dec 7, 2021 to Mar 23, 2022
  • Non-discretionary RAUM · $27.2M to $31.3M
    Dec 7, 2021 to Mar 23, 2022
  • RAUM · $204M to $217M
    Dec 7, 2021 to Mar 23, 2022
  • Accounts · 460 to 393
    Oct 15, 2020 to Mar 16, 2021
  • HNW clients · 56 to 121
    Oct 15, 2020 to Mar 16, 2021
  • Individual clients · 31 to 16
    Oct 15, 2020 to Mar 16, 2021
  • Discretionary RAUM · $162M to $177M
    Oct 15, 2020 to Mar 16, 2021
  • HNW RAUM · $162M to $200M
    Oct 15, 2020 to Mar 16, 2021
  • Individual RAUM · $21.4M to $4.0M
    Oct 15, 2020 to Mar 16, 2021
  • Non-discretionary RAUM · $20.9M to $27.2M
    Oct 15, 2020 to Mar 16, 2021
  • RAUM · $183M to $204M
    Oct 15, 2020 to Mar 16, 2021
  • Accounts · 488 to 460
    Mar 8, 2019 to Mar 20, 2020
  • HNW clients · 78 to 56
    Mar 8, 2019 to Mar 20, 2020
  • Individual clients · 34 to 31
    Mar 8, 2019 to Mar 20, 2020
  • Discretionary RAUM · $146M to $162M
    Mar 8, 2019 to Mar 20, 2020
  • HNW RAUM · $153M to $162M
    Mar 8, 2019 to Mar 20, 2020
  • Individual RAUM · $19.5M to $21.4M
    Mar 8, 2019 to Mar 20, 2020
  • Non-discretionary RAUM · $27.0M to $20.9M
    Mar 8, 2019 to Mar 20, 2020
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