DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• W••••• M•••••••••
Legal name R•••••• F•••••••• A••••••• S•••••• I••
Latest filing Jul 29, 2026
First filing on the tape Feb 17, 2012 · 39 filings
SEC status approved since Jan 31, 1991
RAUM
$242M
reported, Item 5.F
Discretionary
6.2%
of RAUM
Private clients
100%
$242M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$80.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$242M as of Jul 29, 2026
Feb 17, 2012$111M then
HNW client RAUM$186M as of Jul 29, 2026
Feb 25, 2018$76.8M then
State-registered IARs (5.B.3)3 as of Jul 29, 2026
Feb 22, 20133 then
Employees (5.A)3 as of Jul 29, 2026
Feb 22, 20133 then
Private funds: no history
RAUM +9.4% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $80.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 46derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $646,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.2%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $25.4M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$186M77%
- Individuals$55.5M23%
- Individual clients
- 78reported
- HNW clients
- 61reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 374reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $25.4M for 9 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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•••• H••••••• R••••••Certified Financial Planner | Erie, Pa | Mar 12, 1991 | 43 y | 0 |
| E••• J•••• R••••••Certified Financial Planner, Chartered Financial Analyst | Erie, Pa | Nov 28, 2002 | 23 y | 0 |
| R•••••• I•• M•••••• | Erie, Pa | Apr 7, 2014 | 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
- D••••• M•••••• D•••• to O•• P••• W••••• M••••••••• L••Nov 5, 2014 · Other
Joined, latest
- D••••• M•••••• D•••• from S•••••••• A••••••• L••Sep 4, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J••••• H••••••• · President/Chief Compliance Officercontrolsince 03/1991 · owns 50% to 75%
- R••••••• J•••••• K•• · Ownersince 09/1990 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Erie, Pa · principal | 3 | 0 | 0 | ||
| Summerville, Sc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 372 to 374Nov 4, 2025 to Mar 18, 2026
- HNW clients · 58 to 61Nov 4, 2025 to Mar 18, 2026
- Individual clients · 80 to 78Nov 4, 2025 to Mar 18, 2026
- Assets in custody · $23.2M to $25.4MNov 4, 2025 to Mar 18, 2026
- Discretionary RAUM · $20.7M to $15.1MNov 4, 2025 to Mar 18, 2026
- HNW RAUM · $166M to $186MNov 4, 2025 to Mar 18, 2026
- Individual RAUM · $55.2M to $55.5MNov 4, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $200M to $227MNov 4, 2025 to Mar 18, 2026
- RAUM · $221M to $242MNov 4, 2025 to Mar 18, 2026
- Accounts · 368 to 372Mar 21, 2024 to Mar 13, 2025
- HNW clients · 53 to 58Mar 21, 2024 to Mar 13, 2025
- Individual clients · 87 to 80Mar 21, 2024 to Mar 13, 2025
- Assets in custody · $21.6M to $23.2MMar 21, 2024 to Mar 13, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 13, 2025
- Other offices · 0 to 3Mar 21, 2024 to Mar 13, 2025
- Discretionary RAUM · $19.0M to $20.7MMar 21, 2024 to Mar 13, 2025
- HNW RAUM · $145M to $166MMar 21, 2024 to Mar 13, 2025
- Individual RAUM · $55.5M to $55.2MMar 21, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $181M to $200MMar 21, 2024 to Mar 13, 2025
- RAUM · $200M to $221MMar 21, 2024 to Mar 13, 2025
- Accounts · 369 to 368Mar 8, 2023 to Mar 12, 2024
- HNW clients · 47 to 53Mar 8, 2023 to Mar 12, 2024
- Individual clients · 97 to 87Mar 8, 2023 to Mar 12, 2024
- Assets in custody · $18.9M to $21.6MMar 8, 2023 to Mar 12, 2024
- Discretionary RAUM · $15.9M to $19.0MMar 8, 2023 to Mar 12, 2024
- HNW RAUM · $113M to $145MMar 8, 2023 to Mar 12, 2024
- Individual RAUM · $56.3M to $55.5MMar 8, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $153M to $181MMar 8, 2023 to Mar 12, 2024
- RAUM · $169M to $200MMar 8, 2023 to Mar 12, 2024
- Accounts · 360 to 369Mar 14, 2022 to Mar 8, 2023
- HNW clients · 54 to 47Mar 14, 2022 to Mar 8, 2023
- Individual clients · 91 to 97Mar 14, 2022 to Mar 8, 2023
- Assets in custody · $19.9M to $18.9MMar 14, 2022 to Mar 8, 2023
- Discretionary RAUM · $19.0M to $15.9MMar 14, 2022 to Mar 8, 2023
- HNW RAUM · $128M to $113MMar 14, 2022 to Mar 8, 2023
- Individual RAUM · $53.9M to $56.3MMar 14, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $163M to $153MMar 14, 2022 to Mar 8, 2023
- RAUM · $182M to $169MMar 14, 2022 to Mar 8, 2023
- Accounts · 343 to 360Nov 8, 2021 to Mar 14, 2022
- HNW clients · 52 to 54Nov 8, 2021 to Mar 14, 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 phone
- 814-833-2268reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 814-838-4185reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.i••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 814-838-4185reportedpublic record, Form ADV, Jul 29, 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
- $80.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026