DFX Intelligence
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T••• C•••••• M••••••••• I••
Other adviser, based in Mcmurray, Pennsylvania, reporting $838M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $838M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -10%
- Private clients
- 13% of RAUM, $110M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 104748 · SEC 801-36431 · 16 filingsShowHide
CRD 104748SEC 801-36431First filing on the tape Mar 29, 2012, latest Mar 30, 2026SEC status approved since Apr 2, 1990IAPD
RAUM
$838M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
13%
$110M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$838M as of Mar 30, 2026
Mar 29, 2012$999M then
HNW client RAUM$110M as of Mar 30, 2026
Mar 29, 2018$1.7M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 30, 2026
Mar 28, 201310 then
Private funds1 as of Mar 28, 2013
Mar 29, 20121 then
RAUM -10% over the last fiscal year+1.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $12.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$342M41%
- Pension and profit-sharing plans$321M38%
- High-net-worth individuals$110M13%
- Charitable organizations$60.3M7.2%
- Corporations and businesses$3.8M0.5%
- Individual clients
- n/areported
- HNW clients
- 35reported
- Pension plan clients
- 10reported
- Charitable clients
- 5reported
- Accounts
- 65reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $21.7M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.13 fund_share=0.0 institutional_share=0.86 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• M••••••• P••••••• L•no longer reported | Hedge Fund | $16.7M | 3 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• G••••••• · President/Ciocontrolsince 04/1990 · owns 75% or more
- D••••• J••••• D••• · Chief Financial Officer/Chief Compliance Officersince 09/1998 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 76 to 65Mar 28, 2025 to Mar 30, 2026
- Charity clients · unset to 5.0Mar 28, 2025 to Mar 30, 2026
- HNW clients · 46 to 35Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 11 to 10Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $923M to $824MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $80.1M to $110MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $12.8M to $13.4MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $288M to $321MMar 28, 2025 to Mar 30, 2026
- RAUM · $936M to $838MMar 28, 2025 to Mar 30, 2026
- Wrap assets (manager) · $9.1M to $21.7MMar 28, 2025 to Mar 30, 2026
- Accounts · 51 to 76Mar 29, 2024 to Mar 28, 2025
- Charity clients · 6.0 to unsetMar 29, 2024 to Mar 28, 2025
- HNW clients · 20 to 46Mar 29, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 11Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $775M to $923MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $58.1M to $80.1MMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $9.8M to $12.8MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $240M to $288MMar 29, 2024 to Mar 28, 2025
- RAUM · $785M to $936MMar 29, 2024 to Mar 28, 2025
- Wrap assets (manager) · $3.8M to $9.1MMar 29, 2024 to Mar 28, 2025
- Accounts · 48 to 51Mar 30, 2023 to Mar 29, 2024
- Charity clients · 7 to 6Mar 30, 2023 to Mar 29, 2024
- HNW clients · 16 to 20Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $789M to $775MMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $48.4M to $58.1MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.1M to $9.8MMar 30, 2023 to Mar 29, 2024
- Pension RAUM · $233M to $240MMar 30, 2023 to Mar 29, 2024
- RAUM · $794M to $785MMar 30, 2023 to Mar 29, 2024
- Wrap assets (manager) · $3.2M to $3.8MMar 30, 2023 to Mar 29, 2024
- Accounts · 40 to 48Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 5 to 4Mar 30, 2022 to Mar 30, 2023
- Charity clients · 6 to 7Mar 30, 2022 to Mar 30, 2023
- Corporate clients · 5.0 to unsetMar 30, 2022 to Mar 30, 2023
- HNW clients · 7 to 16Mar 30, 2022 to Mar 30, 2023
- Employees · 9 to 8Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.0B to $789MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $27.9M to $48.4MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $526,675 to $5.1MMar 30, 2022 to Mar 30, 2023
- Pension RAUM · $296M to $233MMar 30, 2022 to Mar 30, 2023
Signals
2 dated events
- ••• LockedMar 30, 2020 · RAUM change · derived
- ••• LockedMar 29, 2018 · RAUM change · derived
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026