DFX Intelligence

D•••••••• F•••••••• 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

D•••••••• F•••••••• G••••• I•••

CRD 149332

EAST NORRITON, PA

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Search this name across graphsid dfx:ria:bb6d58ad-06b5-5e0f-ae9e-f27fb05e9749

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 25, 2025 to Sep 14, 2026
5 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $129M••• Locked
Discretionary RAUM: $129M
Private client RAUM: $125Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $64.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• D••••••• D••••••••	Chartered Financial Consultant	EAST NORRITON, PA	17	27	1	yes
L•• L•••••	n/a	EAST NORRITON, PA	2	10

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$129M	$129M	4	2	0	n/a	n/a

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	$129M	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Relationships

Affiliated with (1)

← L•••• B•••••• • C••• L••Registered adviserother investment adviser
factForm ADV

Registered with (2)

← L•• L•••••Advisorregistration: current employment
May 16, 2024 to presentfactForm ADV
← C•••••• D••••••• D••••••••Advisorregistration: current employment
Jul 9, 2009 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bb6d58ad-06b5-5e0f-ae9e-f27fb05e9749
First observed: Jun 25, 2025
Last observed: Sep 14, 2026 9 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.