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
S•••••• • P•••••
Legal name S•••••• • P•••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Feb 29, 2012 · 29 filings
SEC status approved since Apr 28, 2017
RAUM
$433M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$426M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$433M as of Mar 17, 2026
Feb 29, 2012$71.5M then
HNW client RAUM$386M as of Mar 17, 2026
Feb 7, 2018$142M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Feb 29, 20120 then
Employees (5.A)5 as of Mar 17, 2026
Feb 7, 20185 then
Private funds: no history
RAUM +11% over the last fiscal year+1.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 17, 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
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $638,438derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $282M, 98 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)
- 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$386M89%
- Individuals$40.4M9.3%
- Charitable organizations$6.9M1.6%
- Pension and profit-sharing plans$548,5480.1%
- Corporations and businesses$1,3500.0%
- Individual clients
- 128reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 679reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $282M for 98 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| N••••• J••••• S••••••Certified Financial Planner, Chartered Financial Consultant | Bonita Springs, Fl | Apr 2, 1991 | 42 y | 0 |
| R••• P•••••• N•••••••Certified Financial Planner | Canonsburg, Pa | Nov 6, 2017 | 16 y | 2 |
| A••••• J•••• F••••••• | Canonsburg, Pa | Oct 14, 2024 | 12 y | 0 |
| C••••• L••• R•••••• | Canonsburg, Pa | Aug 6, 2025 | 11 y | 4 |
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 headcount1 left over 36 months
Left, latest
- J•••••• M• G••••• to K•••••• F•••••••• G••••May 6, 2025 · RIA to RIA
Joined, latest
- C••••• L••• R•••••• from O•••• W•••••• I•••Aug 6, 2025 · Affiliated broker-dealer or bank to independent RIA
- R••• P•••••• N••••••• from O•••• W•••••• I•••Nov 6, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••••• R•••• P•••••• · Chief Compliance Officer/President/Vice President/Secretary/Treasuercontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
- N••••• J• S••••••real estaten
- R••• P•••••• N•••••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Canonsburg, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 696 to 679Jun 30, 2025 to Mar 17, 2026
- HNW clients · 62 to 71Jun 30, 2025 to Mar 17, 2026
- Individual clients · 141 to 128Jun 30, 2025 to Mar 17, 2026
- Assets in custody · $1.8M to $282MJun 30, 2025 to Mar 17, 2026
- Other offices · 2 to 1Jun 30, 2025 to Mar 17, 2026
- Discretionary RAUM · $390M to $433MJun 30, 2025 to Mar 17, 2026
- HNW RAUM · $334M to $386MJun 30, 2025 to Mar 17, 2026
- Individual RAUM · $45.2M to $40.4MJun 30, 2025 to Mar 17, 2026
- Pension RAUM · $5.1M to $548,548Jun 30, 2025 to Mar 17, 2026
- RAUM · $390M to $433MJun 30, 2025 to Mar 17, 2026
- Financial planning clients · 101-250 to 101-250Mar 18, 2025 to Jun 30, 2025
- Other offices · 1 to 2Mar 18, 2025 to Jun 30, 2025
- Accounts · 741 to 696Dec 2, 2024 to Mar 18, 2025
- HNW clients · 67 to 62Dec 2, 2024 to Mar 18, 2025
- Individual clients · 148 to 141Dec 2, 2024 to Mar 18, 2025
- Pension plan clients · 6.0 to unsetDec 2, 2024 to Mar 18, 2025
- Assets in custody · $911,866 to $1.8MDec 2, 2024 to Mar 18, 2025
- Employees · 6 to 5Dec 2, 2024 to Mar 18, 2025
- Discretionary RAUM · $330M to $390MDec 2, 2024 to Mar 18, 2025
- HNW RAUM · $278M to $334MDec 2, 2024 to Mar 18, 2025
- Individual RAUM · $39.2M to $45.2MDec 2, 2024 to Mar 18, 2025
- Pension RAUM · $9.1M to $5.1MDec 2, 2024 to Mar 18, 2025
- RAUM · $330M to $390MDec 2, 2024 to Mar 18, 2025
- HQ city · MONROEVILLE to CANONBURGMar 28, 2024 to Sep 10, 2024
- Other offices · 2 to 1Mar 28, 2024 to Sep 10, 2024
- HQ city · CANONBURG to CANONSBURGSep 10, 2024 to Sep 10, 2024
- Accounts · 805 to 741Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Mar 29, 2023 to Mar 28, 2024
- HNW clients · 94 to 67Mar 29, 2023 to Mar 28, 2024
- Individual clients · 110 to 148Mar 29, 2023 to Mar 28, 2024
- Pension plan clients · 22 to 6Mar 29, 2023 to Mar 28, 2024
- Assets in custody · unset to 911866.0Mar 29, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 29, 2023 to Mar 28, 2024
- Employees · 5 to 6Mar 29, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 4Mar 29, 2023 to Mar 28, 2024
- Other offices · 1 to 2Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $417M to $330MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $260M to $278MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $19.9M to $39.2MMar 29, 2023 to Mar 28, 2024
- Pension RAUM · $136M to $9.1MMar 29, 2023 to Mar 28, 2024
Signals
5 dated events
- J•••••• M• G••••• left S•••••• • P••••• for K•••••• F•••••••• G•••• (registered 2025-06-04)May 6, 2025 · Advisor changed firm · fact
- Joseph Norman Santori (Owner/President) no longer on Schedule A of S•••••• • P••••• (listed 2020-06-08, absent 2021-01-25)Jan 25, 2021 · Control person left · inference
- Hausman Margaret Santori (Chief Compliance Officer) no longer on Schedule A of S•••••• • P••••• (listed 2020-06-08, absent 2021-01-25)Jan 25, 2021 · Control person left · inference
- S•••••• • P••••• reported RAUM $224.0M, up 119% from $102.2M (2017-04-25 to 2018-02-07)Feb 7, 2018 · RAUM change · derived
- S•••••• • P••••• filed its initial SEC registration (Form ADV)Apr 18, 2017 · First SEC registration · fact
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
- info@santoriandpeters.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-373-6904reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 412-373-6903reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/santori-peters-inc/?viewAsMember=truereportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••••ANDP•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-373-6904reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- santoriandpeters.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- santoriandpeters.com/our-teamreportedpublished 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026