DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
A••••• A••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 21 filings
SEC status approved since Jun 21, 1983
RAUM
$972M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$960M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$324M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$972M as of Mar 30, 2026
Mar 29, 2012$463M then
HNW client RAUM$922M as of Mar 30, 2026
Mar 29, 2018$432M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)7 as of Mar 30, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $324MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $590M, 202 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$922M95%
- Individuals$38.8M4.0%
- Charitable organizations$11.1M1.1%
- Individual clients
- 79reported
- HNW clients
- 166reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 249reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $590M for 202 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• J• A•••••Certified Financial Planner | Sewickley, Pa | Oct 13, 1999 | 12 y | 0 |
| W•••••• J• G•••••Chartered Financial Analyst | Sewickley, Pa | Jan 4, 2003 | 12 y | 0 |
| E••••• B• A•••••Certified Financial Planner | Sewickley, Pa | Sep 8, 2003 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• E•••••• B• · Presidentcontrolsince 01/2014 · owns 50% to 75%
- A•••••• E•••••• J• · Chairman Compliance Officercontrolsince 01/2014 · owns 10% to 25%
- G•••••• W••••••• J• · Vice President/Chief Compliance Officercontrolsince 01/2014 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sewickley, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 30, 2026RAUM per registered advisor of $323,835,576 against a peer median of $106,287,903 (1262 comparable advisers, 100.0th percentile, 3.8 robust deviations)peers: independent wealth managers, $500M to $1B (1,262) · 100% percentile
- control person changedChange between filings · filing Mar 30, 2026G•••••• W••••••• J• (VICE PRESIDENT/CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-03-29 and 2026-03-30peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 248 to 249Mar 28, 2025 to Mar 30, 2026
- HNW clients · 163 to 166Mar 28, 2025 to Mar 30, 2026
- Individual clients · 82 to 79Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $507M to $590MMar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $863M to $972MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $813M to $922MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $39.9M to $38.8MMar 28, 2025 to Mar 30, 2026
- RAUM · $863M to $972MMar 28, 2025 to Mar 30, 2026
- Accounts · 240 to 248Sep 17, 2024 to Mar 28, 2025
- HNW clients · 154 to 163Sep 17, 2024 to Mar 28, 2025
- Individual clients · 83 to 82Sep 17, 2024 to Mar 28, 2025
- Assets in custody · $575M to $507MSep 17, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Sep 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $808M to $863MSep 17, 2024 to Mar 28, 2025
- HNW RAUM · $758M to $813MSep 17, 2024 to Mar 28, 2025
- Individual RAUM · $40.5M to $39.9MSep 17, 2024 to Mar 28, 2025
- RAUM · $808M to $863MSep 17, 2024 to Mar 28, 2025
- Assets in custody · $3,698 to $575MMar 27, 2024 to Sep 17, 2024
- Advisory employees · 2 to 3Mar 31, 2023 to Mar 27, 2024
- HNW clients · 157 to 154Mar 31, 2023 to Mar 27, 2024
- Individual clients · 80 to 83Mar 31, 2023 to Mar 27, 2024
- Assets in custody · $86,331 to $3,698Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $716M to $808MMar 31, 2023 to Mar 27, 2024
- HNW RAUM · $668M to $758MMar 31, 2023 to Mar 27, 2024
- Individual RAUM · $39.7M to $40.5MMar 31, 2023 to Mar 27, 2024
- RAUM · $716M to $808MMar 31, 2023 to Mar 27, 2024
- Accounts · 243 to 240Mar 30, 2022 to Mar 31, 2023
- HNW clients · 168 to 157Mar 30, 2022 to Mar 31, 2023
- Individual clients · 70 to 80Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $15,592 to $86,331Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $876M to $716MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $819M to $668MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $35.8M to $39.7MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $11.6M to $0Mar 30, 2022 to Mar 31, 2023
- RAUM · $876M to $716MMar 30, 2022 to Mar 31, 2023
- Accounts · 220 to 243Mar 30, 2021 to Mar 30, 2022
- HNW clients · 154 to 168Mar 30, 2021 to Mar 30, 2022
- Individual clients · 61 to 70Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $18,967 to $15,592Mar 30, 2021 to Mar 30, 2022
- Employees · 6 to 7Mar 30, 2021 to Mar 30, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 724-934-5600reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 724-934-5622reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 724-934-5600reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $324Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026