DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

B•••••••• A•••••••• I•••

CRD 122389

WYOMISSING, PA

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Search this name across graphsid dfx:ria:fc80c0b1-a866-02a0-9933-ab7118903535

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Mar 26, 2012 to Mar 31, 2026
11 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=0.96 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0
Regulatory AUM: $97.1M••• Locked
Discretionary RAUM: $93.5M
Private client RAUM: $93.5Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $48.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•• R••••• K•••••••	n/a	WYOMISSING, PA	18	41	n/a	yes
J•• R••••• K•••••••	n/a	WYOMISSING, PA	1	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••••• J••• R•••••	PRESIDENT & CEO,CHIEF COMPLIANCE OFFICER	E	yes	07/2002	Mar 26, 2012	Mar 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••••• K••••• S••••••• I••••••••• I•••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$97.1M	$107M	-9.0%	$104M	-2.3%	2	1	0	0

Relationships

Registered with (3)

← J•• R••••• K•••••••Advisorregistration: current employment
May 5, 2025 to presentfactForm ADV
← J•• R••••• K•••••••Advisorregistration: current employment
Jun 11, 2008 to presentfactForm ADV
← FRANCIS GAUGHAN POSTAdvisorregistration: previous registration
Apr 3, 2009 to Oct 9, 2019factForm ADV

Controls (1)

Dated events

Occurred
Jun 10, 2022
Control person left
Freyberger John Lutz (Vice President) no longer on Schedule A of B•••••••• A•••••••• I••• (listed 2012-07-26, absent 2022-06-10)
Form ADVobserved 7 days ago
Occurred
Jun 10, 2022
First Form ADV filing
B•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fc80c0b1-a866-02a0-9933-ab7118903535
First observed: Mar 26, 2012
Last observed: Mar 31, 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.