DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C•••••••• W••••• A•••••••• L••

CRD 121856

NEWTOWN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3268a1dd-3d73-6133-5c8c-955452c6f821

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 6
On other graphs: 0
Observed: Feb 24, 2012 to Mar 11, 2026
34 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $272M••• Locked
Discretionary RAUM: $269M
Private client RAUM: $272Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $90.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• D•••• R••	Certified Financial Planner	NEWTOWN, PA	20	25	n/a	no
N•••••••• C••••••••• v•• D•••••	Certified Financial Planner	NEWTOWN, PA	7	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••• B••••••	MEMBER, VICE PRESIDENT, SECRETARY AND TREASURER	C	yes	08/2016	Oct 12, 2016	Jul 29, 2024
R••• J•••• D••••	MANAGING MEMBER, PRESIDENT AND CHIEF COMPLIANCE OFFICER	C	yes	08/2005	Feb 24, 2012	Jul 29, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	1	1

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	$272M	$236M	15.1%	$186M	13.5%	6	6	0	0

Relationships

Registered with (5)

← B•••••• T•••• Z••••Advisorregistration: current employment
Jan 9, 2025 to presentfactForm ADV
← N•••••••• C••••••••• v•• D•••••Advisorregistration: current employment
Dec 12, 2018 to presentfactForm ADV
← J••• D•••• R••Advisorregistration: current employment
Sep 20, 2006 to presentfactForm ADV
← J••••••• F•••••• C•••••

Dated events

Occurred
Mar 11, 2026
Ria ownership band change
••• Locked
Form ADVobserved today
Occurred
Feb 18, 2025
Ria hq relocated
••• Locked
Form ADVobserved today
Occurred
Jul 22, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 1, 2022
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3268a1dd-3d73-6133-5c8c-955452c6f821
First observed: Feb 24, 2012
Last observed: Mar 11, 2026 6 months 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.