DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A••••• G••••••• I•••

CRD 29931

NEW YORK, NY

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Search this name across graphsid dfx:ria:398ba399-1486-9658-760b-55b1475366b4

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 7
On other graphs: 0
Observed: Mar 30, 2012 to Apr 15, 2026
69 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=0.84 fund_share=0.16 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0
Regulatory AUM: $521M••• Locked
Discretionary RAUM: $134M
Private client RAUM: $437Mderived••• Locked
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $37.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• J••• H••••	Certified Financial Planner	NEWTOWN, PA	19	37	1	yes
J••••• E•••• B••••	n/a	NEWTOWN, PA	19	36

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• G•••••• H•••••• C•••	Owner	D	yes	11/2001	Mar 30, 2012	May 13, 2024
C••••••••• J••••••• L•••	CHIEF FINANCIAL OFFICER/FINOP	Na	yes	05/2007	Mar 30, 2012	May 13, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• G••••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Newtown	Pa	United States	5	yes
Springfield	Mo	United States	1	yes
Perkasie	Pa	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a

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
2	0	2	0.0%	1	0	0	2	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	$521M	$663M	-21.4%	$324M	17.2%	14	13	9	9

Relationships

Registered with (27)

← L••••••• G••••• S••••••Advisorregistration: current employment
Aug 7, 2026 to presentfactForm ADV
← R••••• N••••• S•••••••Advisorregistration: previous registration
Mar 5, 2009 to May 19, 2022factForm ADV
← J••• F••• C••••Advisorregistration: current employment
Jun 14, 2017 to presentfactForm ADV
← D•••• R•• T•••••

Dated events

Occurred
Mar 31, 2025
Ria raum c••••e
••• Locked
Form ADVobserved 8 days ago
$193M
Occurred
Jan 3, 2024
Advisor firm c••••e
••• Locked
Form ADVobserved 8 days ago
Occurred
May 19, 2022
Advisor firm c••••e
••• Locked
Form ADVobserved 8 days ago
Occurred
Apr 27, 2022
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:398ba399-1486-9658-760b-55b1475366b4
First observed: Mar 30, 2012
Last observed: Apr 15, 2026 5 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.