DFX Intelligence

Data Factory

C•••• S••••• 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•••• S••••• A•••••••• L••

CRD 289329

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:fb77774a-b214-6a04-97bb-178815df1283

Data as of Jan 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 14, 2023 to Jan 27, 2026
7 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: $169MItem 5.F on the latest filing (2026-01-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $151M
Private client RAUM: $169MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••••• L•••••• F•••••••	Certified Financial Planner	LANCASTER, PA	8	32	3	no
J••••• P• M•••••••	Certified Financial Planner\|Chartered Financial Consultant	LANCASTER, PA	8	14

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••••• M•••••••• L••••••	CHIEF COMPLIANCE OFFICER	D	yes	06/2017	Feb 14, 2023	Jul 11, 2024
M•••••••• J•••••• P•	Member	D	yes	07/2017	Feb 14, 2023

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••• F•••••••• S•••••••• L••	n/a	n/a	n/a	Y	yes	n/a
M••••••• F•••••••• S••• P•••••••••	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$169M	$139M	21.5%	n/a	n/a	4	4	2	2

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••• F•••••••• C•••••••••	2	Oct 23, 2017	Oct 20, 2017	EAST PETERSBURG, PA	Team lift out	Other	0.3%

Relationships

Registered with (4)

← R••••• J••••• R•••Advisorregistration: current employment
Aug 2, 2022 to presentfactForm ADV
← B•••••• C••••••••• W••••Advisorregistration: current employment
Jan 3, 2022 to presentfactForm ADV
← M••••••• L•••••• F•••••••Advisorregistration: current employment
Oct 20, 2017 to presentfactForm ADV
← J••••• P• M•••••••

Dated events

Occurred
Feb 14, 2023
First Form ADV filing
C•••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fb77774a-b214-6a04-97bb-178815df1283
First observed: Feb 14, 2023
Last observed: Jan 27, 2026 7 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.