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
R•••••• M••••• A••••••••• I••
Legal name R•••••• M•••••• A••••••••• I••
Latest filing Aug 25, 2026
First filing on the tape Mar 26, 2012 · 27 filings
SEC status approved since Mar 22, 1991
RAUM
$3.2B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
97%
$3.1B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$200M
derived; firm RAUM over IAPD count
Employees
15
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$3.2B as of Aug 25, 2026
Mar 26, 2012$485M then
HNW client RAUM$2.9B as of Aug 25, 2026
Mar 26, 2018$1.2B then
State-registered IARs (5.B.3)14 as of Aug 25, 2026
Jan 25, 20138 then
Employees (5.A)15 as of Aug 25, 2026
Jan 25, 20138 then
Private funds: no history
RAUM +10% over the last fiscal year+15% a year over threeIARs 14 to 14offices 0 to 1
Practice profile
derived from the filing of Aug 25, 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
- $200MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Custody
- $1.3B, 536 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.9B91%
- Individuals$188M5.9%
- Corporations and businesses$109M3.4%
- Individual clients
- 466reported
- HNW clients
- 1,132reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,599reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 536 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• P••••• M••••• | Philadelphia, Pa | May 15, 1991 | 35 y | 0 |
| P••••••• G••••••••Chartered Financial Analyst | Philadelphia, Pa | Sep 8, 1997 | 31 y | 0 |
| R••••• T••••• H••••••Certified Financial Planner | Phialdelphia, Pa | Apr 7, 2005 | 31 y | 0 |
| L••• A•• H•••••• | Philadelphia, Pa | Sep 19, 2005 | 24 y | 0 |
| M••• R•••••• F•••••••Chartered Financial Analyst | Philadelphia, Pa | Nov 15, 2006 | 26 y | 0 |
| R••• T•••••• C••••• | Philadelphia, Pa | May 13, 2008 | 27 y | 0 |
| S•••• L••• A••••• | Philadelphia, Pa | Aug 15, 2008 | 30 y | 3 |
| K•••• J••••• C••••Certified Financial Planner | Philadelphia, Pa | Mar 13, 2014 | 17 y | 3 |
| G••••• G••••• G••••••Chartered Financial Consultant | Philadelphia, Pa | Sep 2, 2016 | 27 y | 4 |
| E••• R• M••••• | Philadelphia, Pa | Nov 14, 2018 | 14 y | 3 |
| M••••• J•••••• M•••••Certified Financial Planner | Philadelphia, Pa | Apr 17, 2020 | 27 y | 2 |
| D•••• G••••••Certified Financial Planner | Philadelphia, Pa | Nov 17, 2021 | 13 y | 0 |
| A••••• D•••••Chartered Financial Analyst | Philadelphia, Pa | Mar 25, 2022 | 11 y | 1 |
| P•••• F• G•••••••Certified Financial Planner | Philadelphia, Pa | Feb 7, 2024 | 16 y | 3 |
| R••••• A•••• R•••••Certified Financial Planner | Philadelphia, Pa | Sep 20, 2024 | 23 y | 2 |
| C••• R• H•••••• | Philadelphia, Pa | Jun 17, 2025 | 11 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
- B••••• H••••••• M••••• to G••••• A••••••• S•••••••• L••Nov 22, 2021 · RIA to RIA
- S•••• L••• A••••• to T• A••••••••• I••••••••• M••••••••• L••Nov 6, 2006 · Other
Joined, latest
- R••••• A•••• R••••• from F••••••• P••••••• A•• W•••••••• A•••••••Sep 20, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••• F• G••••••• from B••• M••• T•••• A•••••••• L••Feb 7, 2024 · RIA to RIA
- A••••• D••••• from W•••• F•••• A•••••••Mar 25, 2022 · Wirehouse to independent RIA
- M••••• J•••••• M••••• from C•••••• S••••• • C••• I•••Apr 17, 2020 · Affiliated broker-dealer or bank to independent RIA
- E••• R• M••••• from M••••••• P•••••• W•••••• L••Nov 14, 2018 · RIA to RIA
- G••••• G••••• G•••••• from C•••••• S••••• • C••• I•••Sep 2, 2016 · Other
- K•••• J••••• C•••• from C•••• F•••••••• P•••••••Mar 13, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••• R•••••• · Chief Investment Officer, Treasurercontrolsince 06/2008 · owns 10% to 25%
- G••••••••• P••••••• · Vice President, Secretary, Chief Compliance Officercontrolsince 06/1998 · owns 25% to 50%
- H••••••• R•••••• T••••• · President & Investment Manager Treasurercontrolsince 06/2005 · owns 25% to 50%
- M•••••• R•••••• P••••• · Chairman And Foundercontrolsince 10/1990 · owns 5% to 10%
- G••••• R••• L• · Directorsince 05/1995 · 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 |
|---|---|---|---|---|---|
| Philadelphia, Pa · principal | 15 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 25, 2026F•••••••• M•••• R•••••• (CHIEF INVESTMENT OFFICER, TREASURER) left Schedule A between the filings of 2016-03-04 and 2026-08-25peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Other offices · 0 to 1Mar 26, 2026 to Aug 25, 2026
- Accounts · 1,563 to 1,599May 12, 2025 to Mar 26, 2026
- HNW clients · 1,097 to 1,132May 12, 2025 to Mar 26, 2026
- Individual clients · 463 to 466May 12, 2025 to Mar 26, 2026
- Assets in custody · $1.2B to $1.3BMay 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $2.9B to $3.2BMay 12, 2025 to Mar 26, 2026
- HNW RAUM · $2.6B to $2.9BMay 12, 2025 to Mar 26, 2026
- Individual RAUM · $179M to $188MMay 12, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $28.9M to $31.9MMay 12, 2025 to Mar 26, 2026
- RAUM · $2.9B to $3.2BMay 12, 2025 to Mar 26, 2026
- Financial planning clients · 101-250 to 101-250Feb 20, 2025 to May 12, 2025
- Accounts · 1,458 to 1,563Aug 1, 2024 to Feb 20, 2025
- Advisory employees · 12 to 14Aug 1, 2024 to Feb 20, 2025
- HNW clients · 977 to 1,097Aug 1, 2024 to Feb 20, 2025
- Individual clients · 478 to 463Aug 1, 2024 to Feb 20, 2025
- Assets in custody · $1.1B to $1.2BAug 1, 2024 to Feb 20, 2025
- Employees · 12 to 15Aug 1, 2024 to Feb 20, 2025
- State-registered IARs · 12 to 14Aug 1, 2024 to Feb 20, 2025
- Discretionary RAUM · $2.5B to $2.9BAug 1, 2024 to Feb 20, 2025
- HNW RAUM · $2.2B to $2.6BAug 1, 2024 to Feb 20, 2025
- Individual RAUM · $190M to $179MAug 1, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $26.5M to $28.9MAug 1, 2024 to Feb 20, 2025
- RAUM · $2.5B to $2.9BAug 1, 2024 to Feb 20, 2025
- Accounts · 1,398 to 1,458Feb 21, 2023 to Feb 26, 2024
- Advisory employees · 11 to 12Feb 21, 2023 to Feb 26, 2024
- HNW clients · 876 to 977Feb 21, 2023 to Feb 26, 2024
- Individual clients · 520 to 478Feb 21, 2023 to Feb 26, 2024
- Assets in custody · $1.0B to $1.1BFeb 21, 2023 to Feb 26, 2024
- Employees · 11 to 12Feb 21, 2023 to Feb 26, 2024
- State-registered IARs · 11 to 12Feb 21, 2023 to Feb 26, 2024
- Discretionary RAUM · $2.1B to $2.5BFeb 21, 2023 to Feb 26, 2024
- HNW RAUM · $1.9B to $2.2BFeb 21, 2023 to Feb 26, 2024
- Individual RAUM · $209M to $190MFeb 21, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $26.8M to $26.5MFeb 21, 2023 to Feb 26, 2024
- RAUM · $2.1B to $2.5BFeb 21, 2023 to Feb 26, 2024
- Accounts · 1,343 to 1,398Mar 30, 2022 to Feb 21, 2023
- HNW clients · 924 to 876Mar 30, 2022 to Feb 21, 2023
- Individual clients · 417 to 520Mar 30, 2022 to Feb 21, 2023
- Assets in custody · $1.2B to $1.0BMar 30, 2022 to Feb 21, 2023
- Discretionary RAUM · $2.3B to $2.1BMar 30, 2022 to Feb 21, 2023
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
- 215-981-1030reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R••••••M•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-981-1030reportedpublic record, Form ADV, Aug 25, 2026
- Team page
- r•••••••••.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
- $200Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026