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
H•••• H• A•••••••• A••••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Mar 21, 2012 · 31 filings
SEC status approved since Jul 29, 1983
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.2B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$410M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 21, 2012$379M then
HNW client RAUM$1.2B as of Mar 31, 2026
Mar 27, 2018$607M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 22, 20134 then
Employees (5.A)5 as of Mar 31, 2026
Mar 22, 20135 then
Private funds2 as of Mar 21, 2022
Mar 21, 20122 then
RAUM +7.7% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $410MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.7MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $528M, 67 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
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B98%
- Charitable organizations$11.9M1.0%
- Individuals$11.3M0.9%
- Individual clients
- 28reported
- HNW clients
- 113reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 530reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $528M for 67 clientsreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| J•••• M•••• A•••••••• | Pittsburgh, Pa | Jun 9, 1992 | 34 y | 0 |
| A••• P• S•••••Chartered Financial Analyst | Pittsburgh, Pa | Feb 15, 2002 | 25 y | 0 |
| P•••• D• E•••••••Certified Financial Planner | Pittsburgh, Pa | Nov 25, 2009 | 16 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••••••• E••••• P••••••• L•no longer reported | Private Equity Fund | $589,689 | 21 | Mar 21, 2012 |
| A•••••••• E••••• A••••••• L•no longer reported | Private Equity Fund | $261,136 | 8 | Mar 21, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• J••••• M•••• · Presidentcontrolsince 01/1998 · owns 75% or more
- E•••••••• P••••• D• · Managing Director / Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- S•••••• A•••• P• · Senior Vice Presidentcontrolsince 02/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 525 to 530Feb 26, 2025 to Feb 20, 2026
- HNW clients · 111 to 113Feb 26, 2025 to Feb 20, 2026
- Assets in custody · $489M to $528MFeb 26, 2025 to Feb 20, 2026
- Discretionary RAUM · $1.1B to $1.2BFeb 26, 2025 to Feb 20, 2026
- HNW RAUM · $1.1B to $1.2BFeb 26, 2025 to Feb 20, 2026
- Individual RAUM · $12.3M to $11.3MFeb 26, 2025 to Feb 20, 2026
- RAUM · $1.1B to $1.2BFeb 26, 2025 to Feb 20, 2026
- Accounts · 543 to 525Feb 23, 2024 to Feb 26, 2025
- HNW clients · 117 to 111Feb 23, 2024 to Feb 26, 2025
- Individual clients · 29 to 28Feb 23, 2024 to Feb 26, 2025
- Assets in custody · $413M to $489MFeb 23, 2024 to Feb 26, 2025
- Financial planning clients · 51-100 to 51-100Feb 23, 2024 to Feb 26, 2025
- Discretionary RAUM · $1.1B to $1.1BFeb 23, 2024 to Feb 26, 2025
- HNW RAUM · $1.0B to $1.1BFeb 23, 2024 to Feb 26, 2025
- Individual RAUM · $12.1M to $12.3MFeb 23, 2024 to Feb 26, 2025
- RAUM · $1.1B to $1.1BFeb 23, 2024 to Feb 26, 2025
- Accounts · 553 to 543Mar 6, 2023 to Feb 23, 2024
- HNW clients · 110 to 117Mar 6, 2023 to Feb 23, 2024
- Individual clients · 32 to 29Mar 6, 2023 to Feb 23, 2024
- Assets in custody · $343M to $413MMar 6, 2023 to Feb 23, 2024
- Discretionary RAUM · $903M to $1.1BMar 6, 2023 to Feb 23, 2024
- HNW RAUM · $877M to $1.0BMar 6, 2023 to Feb 23, 2024
- Individual RAUM · $16.3M to $12.1MMar 6, 2023 to Feb 23, 2024
- RAUM · $903M to $1.1BMar 6, 2023 to Feb 23, 2024
- Accounts · 144 to 553Jul 1, 2022 to Mar 6, 2023
- Advisory employees · 4 to 3Jul 1, 2022 to Mar 6, 2023
- Advisory activities · 4 to 3Jul 1, 2022 to Mar 6, 2023
- HNW clients · 117 to 110Jul 1, 2022 to Mar 6, 2023
- Individual clients · 25 to 32Jul 1, 2022 to Mar 6, 2023
- Pooled vehicle clients · 2 to 0Jul 1, 2022 to Mar 6, 2023
- Assets in custody · $363M to $343MJul 1, 2022 to Mar 6, 2023
- State-registered IARs · 4 to 3Jul 1, 2022 to Mar 6, 2023
- Private funds · 2 to unsetJul 1, 2022 to Mar 6, 2023
- Discretionary RAUM · $1.1B to $903MJul 1, 2022 to Mar 6, 2023
- HNW RAUM · $1.0B to $877MJul 1, 2022 to Mar 6, 2023
- Individual RAUM · $13.0M to $16.3MJul 1, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $850,825 to $0Jul 1, 2022 to Mar 6, 2023
- RAUM · $1.1B to $903MJul 1, 2022 to Mar 6, 2023
- Accounts · 143 to 144Apr 30, 2021 to Mar 21, 2022
- HNW clients · 109 to 117Apr 30, 2021 to Mar 21, 2022
Signals
1 dated events
- Keating Noreen Wnorowski (Vice President) no longer on Schedule A of H•••• H• A•••••••• A••••••••• I••• (listed 2022-06-16, absent 2022-07-01)Jul 1, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- H•••• H• A•••••••• A••••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- c••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••••••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- p•••@h•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-471-1551reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-471-7828reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••A••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 412-471-1551reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- h•••••••••.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
- $410Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026