DFX Intelligence
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SEC-registered adviser
M••••••••• F•••••••• C•••••••••
Latest filing Aug 5, 2026
First filing on the tape Feb 17, 2012 · 19 filings
SEC status approved since Mar 9, 1989
RAUM
$425M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$402M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$425M as of Aug 5, 2026
Feb 17, 2012$230M then
HNW client RAUM$385M as of Aug 5, 2026
Mar 7, 2018$271M then
State-registered IARs (5.B.3)4 as of Aug 5, 2026
Feb 17, 20120 then
Employees (5.A)4 as of Aug 5, 2026
Mar 25, 20132 then
Private funds: no history
RAUM +3.0% over the last fiscal year+8.4% a year over threeIARs 0 to 4offices 0 to 1
Practice profile
derived from the filing of Aug 5, 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
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $997,209derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $86.3M, 38 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
- is an insurance broker or agent (6.A.6)
- 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$385M91%
- Charitable organizations$23.2M5.5%
- Individuals$16.8M4.0%
- Individual clients
- 43reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 426reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.3M for 38 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• M••••••••• | Delmont, Pa | Jan 18, 2007 | 20 y | 0 |
| K••••• J•••• S••••• | Delmont, Pa | Aug 22, 2013 | 16 y | 0 |
| E•••••••• L••••••• M••••••••• | Delmont, Pa | Nov 25, 2019 | 12 y | 0 |
| E•••••••• S••••••• H••••• | Delmont, Pa | Aug 5, 2026 | 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
- M••••••••• A•••• · President, Wealth Advisor, Chief Compliance Officercontrolsince 12/2008 · owns 75% or more
- M••••••••• E••••••••• L••••••• · Vice President, Wealth Advisor, Compliance Managersince 12/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Delmont, Pa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 2 to 4Feb 25, 2026 to Aug 5, 2026
- Employees · 3 to 4Feb 25, 2026 to Aug 5, 2026
- State-registered IARs · 0 to 4Feb 25, 2026 to Aug 5, 2026
- Other offices · 0 to 1Feb 25, 2026 to Aug 5, 2026
- Accounts · 433 to 426Mar 13, 2025 to Feb 25, 2026
- HNW clients · 78 to 73Mar 13, 2025 to Feb 25, 2026
- Individual clients · 61 to 43Mar 13, 2025 to Feb 25, 2026
- Assets in custody · $93.1M to $86.3MMar 13, 2025 to Feb 25, 2026
- Discretionary RAUM · $412M to $425MMar 13, 2025 to Feb 25, 2026
- HNW RAUM · $368M to $385MMar 13, 2025 to Feb 25, 2026
- Individual RAUM · $21.2M to $16.8MMar 13, 2025 to Feb 25, 2026
- RAUM · $412M to $425MMar 13, 2025 to Feb 25, 2026
- Accounts · 401 to 433Mar 13, 2024 to Mar 13, 2025
- Charity clients · 9 to 8Mar 13, 2024 to Mar 13, 2025
- HNW clients · 63 to 78Mar 13, 2024 to Mar 13, 2025
- Individual clients · 76 to 61Mar 13, 2024 to Mar 13, 2025
- Assets in custody · $86.9M to $93.1MMar 13, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Mar 13, 2024 to Mar 13, 2025
- Discretionary RAUM · $380M to $412MMar 13, 2024 to Mar 13, 2025
- HNW RAUM · $323M to $368MMar 13, 2024 to Mar 13, 2025
- Individual RAUM · $34.2M to $21.2MMar 13, 2024 to Mar 13, 2025
- RAUM · $380M to $412MMar 13, 2024 to Mar 13, 2025
- Accounts · 424 to 401Mar 21, 2023 to Mar 13, 2024
- HNW clients · 56 to 63Mar 21, 2023 to Mar 13, 2024
- Individual clients · 100 to 76Mar 21, 2023 to Mar 13, 2024
- Assets in custody · $73.6M to $86.9MMar 21, 2023 to Mar 13, 2024
- Discretionary RAUM · $334M to $380MMar 21, 2023 to Mar 13, 2024
- HNW RAUM · $273M to $323MMar 21, 2023 to Mar 13, 2024
- Individual RAUM · $40.4M to $34.2MMar 21, 2023 to Mar 13, 2024
- RAUM · $334M to $380MMar 21, 2023 to Mar 13, 2024
- Accounts · 413 to 424Mar 4, 2022 to Mar 21, 2023
- Charity clients · 7 to 9Mar 4, 2022 to Mar 21, 2023
- HNW clients · 44 to 56Mar 4, 2022 to Mar 21, 2023
- Individual clients · 140 to 100Mar 4, 2022 to Mar 21, 2023
- Assets in custody · $110M to $73.6MMar 4, 2022 to Mar 21, 2023
- Discretionary RAUM · $436M to $334MMar 4, 2022 to Mar 21, 2023
- HNW RAUM · $338M to $273MMar 4, 2022 to Mar 21, 2023
- Individual RAUM · $73.2M to $40.4MMar 4, 2022 to Mar 21, 2023
- RAUM · $436M to $334MMar 4, 2022 to Mar 21, 2023
- Accounts · 430 to 413Mar 4, 2021 to Mar 4, 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 email
- l••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-468-1300reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-468-1301reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M•••••••••-FINANCIAL-C•••••••••/ABOUTreportedpublic record, Form ADV, Aug 5, 2026
- Website
- M•••••••••FINANCIAL.COMreportedpublic record, Form ADV, Aug 5, 2026
- Principal office phone
- 724-468-1300reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026