DFX Intelligence

G••••••• A•••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• A•••• A•••••••• L••

CRD 144958

MECHANICSBURG, PA

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Search this name across graphsid dfx:ria:12d6e1b2-4222-14ba-0d82-60076728a642

Data as of Aug 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Dec 19, 2011 to Aug 3, 2026
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=8.0
Regulatory AUM: $278M••• Locked
Discretionary RAUM: $271M
Private client RAUM: $273Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $34.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• H••••• K••••••••	n/a	WYOMISSING, PA	8	34	1	yes
D•••• L•• N•••••	n/a	MECHANICSBURG, PA	8	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• D••••• W••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	E	yes	08/2007	Dec 19, 2011	Jul 16, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Harrisburg	Pa	United States	1	no
Hershey	Pa	United States	1	no
Wyomissing	Pa	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 18, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$278M	$246M	13.3%	$164M	19.3%	8	8	4	4

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	6	Oct 11, 2017	Nov 19, 2021	MECHANICSBURG, PA	Team lift out	Other	0.8%

Relationships

Registered with (10)

← A•••••• D•••• M•••••••Advisorregistration: current employment
Jan 9, 2025 to presentfactForm ADV
← J••••• G• M•••••••Advisorregistration: current employment
Nov 19, 2021 to presentfactForm ADV
← D•••• W•••••• M•••••••Advisorregistration: current employment
Nov 18, 2021 to presentfactForm ADV
← D••••• B•••••• G•••••••

Dated events

Occurred
Feb 12, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12d6e1b2-4222-14ba-0d82-60076728a642
First observed: Dec 19, 2011
Last observed: Aug 3, 2026 50 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.