DFX Intelligence

C••••••• W••••• M••••••••• G••••• 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••••• M••••••••• G••••• L••

CRD 284547

DUNMORE, 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:a4d5745c-b244-b14c-41f1-52794c0e306c

Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 3
On other graphs: 0
Observed: Jul 5, 2016 to Apr 16, 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=4.0
Regulatory AUM: $356M••• Locked
Discretionary RAUM: $312M
Private client RAUM: $353Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $59.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• A••• K••••••	Certified Financial Planner	DUNMORE, PA	10	28	2	yes
R••••• G•••• S••••••	n/a	DUNMORE, PA	10	27

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• R••••••• J••••	PRINCIPAL AND WEALTH MANAGER	B	yes	07/2020	Oct 12, 2020	Sep 5, 2024
K••••••• B••••• A•••	PRINCIPAL AND WEALTH MANAGER / CHIEF COMPLIANCE OFFICER	E	yes	07/2016	Jul 22, 2016	Sep 5, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dunmore	Pa	United States	2	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

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	$356M	$292M	22.1%	$213M	18.6%	6	5	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	2	Aug 25, 2016	Jul 25, 2016	CLARKS GREEN, PA	Team lift out	Ibd to new firm	0.0%

Relationships

Registered with (6)

← M•••••• J• P•••Advisorregistration: current employment
Nov 1, 2023 to presentfactForm ADV
← K••••••• J••• T••••••Advisorregistration: current employment
Jan 7, 2019 to presentfactForm ADV
← J••••• M•••••• A••Advisorregistration: current employment
Sep 17, 2018 to presentfactForm ADV
← R•••••• J•••• C••••••••

Dated events

Occurred
Oct 12, 2020
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a4d5745c-b244-b14c-41f1-52794c0e306c
First observed: Jul 5, 2016
Last observed: Apr 16, 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.