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••••••••• A•••• M••••••••• I•••
Latest filing Sep 3, 2026
First filing on the tape Mar 15, 2012 · 33 filings
SEC status approved since Jan 16, 1997
RAUM
$831M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$753M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$138M
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$831M as of Mar 11, 2026
Mar 15, 2012$171M then
HNW client RAUM$634M as of Mar 11, 2026
Mar 1, 2018$203M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 12, 20132 then
Employees (5.A)12 as of Mar 11, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +25% over the last fiscal year+16% a year over threeIARs 5 to 5offices 2 to 1
Practice profile
derived from the filing of Sep 3, 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
- 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
- $138MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $757,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 5.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$634M76%
- Individuals$119M14%
- Investment companies$33.3M4.0%
- Charitable organizations$30.6M3.7%
- Pension and profit-sharing plans$12.9M1.5%
- Pooled investment vehicles$799,5880.1%
- Individual clients
- 339reported
- HNW clients
- 161reported
- Pension plan clients
- 3reported
- Charitable clients
- 7reported
- Accounts
- 1,096reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.04 institutional_share=0.05 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• F••••••• K••••Chartered Financial Analyst | Chadds Ford, Pa | Aug 30, 1999 | 27 y | 1 |
| S•••• R•••••• K••••Certified Financial Planner | Chadds Ford, Pa | Aug 19, 2016 | 24 y | 1 |
| C•••••• L••• D• S••••• M•••••••••Certified Financial Planner | Bethany Beach, De | Jul 13, 2022 | 33 y | 3 |
| B•••••• R• K•••• | Chadds Ford, Pa | Dec 20, 2023 | 13 y | 0 |
| T•••••• J••• D•••••••Chartered Financial Analyst | Chadds Ford, Pa | Aug 23, 2024 | 20 y | 2 |
| D•••• R•••••• H•••••••Chartered Financial Analyst | Chadds Ford, Pa | Aug 3, 2026 | 34 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• R•••••• H••••••• from B•••••• H••••••• I••••••••• C••••••• L••Aug 3, 2026 · RIA to RIA
- T•••••• J••• D••••••• from C••••••• P•••••••Aug 23, 2024 · RIA to RIA
- C•••••• L••• D• S••••• M••••••••• from Q•••••• S••••••••• W••••• A•••••••Jul 13, 2022 · Other
- S•••• R•••••• K•••• from M•• I•••••••• S•••••••• L••Aug 19, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• S••••• R•••••• · Vice Presidentcontrolsince 03/2018 · owns 25% to 50%
- K••••• J•••••••• F••••••• · President-Managing Director And Chief Compliance Officercontrolsince 01/2014 · 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 |
|---|---|---|---|---|---|
| Chadds Ford, Pa · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Mar 11, 2026 to Sep 3, 2026
- Employees · 12 to 13Mar 11, 2026 to Sep 3, 2026
- Financial planning clients · 251-500 to 251-500Mar 11, 2026 to Sep 3, 2026
- State-registered IARs · 4 to 5Mar 11, 2026 to Sep 3, 2026
- Related adviser · false to unsetMar 11, 2026 to Sep 3, 2026
- Related bank · false to unsetMar 11, 2026 to Sep 3, 2026
- Related broker-dealer · false to unsetMar 11, 2026 to Sep 3, 2026
- Related insurance company · false to unsetMar 11, 2026 to Sep 3, 2026
- Succession · false to unsetMar 11, 2026 to Sep 3, 2026
- Accounts · 1,061 to 1,096Mar 26, 2025 to Mar 11, 2026
- Advisory employees · 6 to 5Mar 26, 2025 to Mar 11, 2026
- Charity clients · 5 to 7Mar 26, 2025 to Mar 11, 2026
- HNW clients · 129 to 161Mar 26, 2025 to Mar 11, 2026
- Individual clients · 346 to 339Mar 26, 2025 to Mar 11, 2026
- Pension plan clients · unset to 3.0Mar 26, 2025 to Mar 11, 2026
- Pooled vehicle clients · 4 to 2Mar 26, 2025 to Mar 11, 2026
- Assets in custody · 0.0 to unsetMar 26, 2025 to Mar 11, 2026
- Custody of client assets · true to falseMar 26, 2025 to Mar 11, 2026
- Financial planning clients · 101-250 to 251-500Mar 26, 2025 to Mar 11, 2026
- State-registered IARs · 5 to 4Mar 26, 2025 to Mar 11, 2026
- Other offices · 2 to 1Mar 26, 2025 to Mar 11, 2026
- Discretionary RAUM · $650M to $814MMar 26, 2025 to Mar 11, 2026
- HNW RAUM · $461M to $634MMar 26, 2025 to Mar 11, 2026
- Individual RAUM · $134M to $119MMar 26, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $15.8M to $16.9MMar 26, 2025 to Mar 11, 2026
- Pension RAUM · $15.3M to $12.9MMar 26, 2025 to Mar 11, 2026
- Pooled vehicle RAUM · $1.2M to $799,588Mar 26, 2025 to Mar 11, 2026
- RAUM · $666M to $831MMar 26, 2025 to Mar 11, 2026
- Accounts · 944 to 1,061Jan 18, 2025 to Mar 26, 2025
- Advisory employees · 4 to 6Jan 18, 2025 to Mar 26, 2025
- Charity clients · 7 to 5Jan 18, 2025 to Mar 26, 2025
- HNW clients · 131 to 129Jan 18, 2025 to Mar 26, 2025
- Individual clients · 334 to 346Jan 18, 2025 to Mar 26, 2025
- Pooled vehicle clients · 3 to 4Jan 18, 2025 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Jan 18, 2025 to Mar 26, 2025
- Other offices · 1 to 2Jan 18, 2025 to Mar 26, 2025
- Discretionary RAUM · $596M to $650MJan 18, 2025 to Mar 26, 2025
- HNW RAUM · $435M to $461MJan 18, 2025 to Mar 26, 2025
- Individual RAUM · $105M to $134MJan 18, 2025 to Mar 26, 2025
- Non-discretionary RAUM · $17.1M to $15.8MJan 18, 2025 to Mar 26, 2025
Signals
3 dated events
- Kennard Joseph Champness (Director) no longer on Schedule A of S••••••••• A•••• M••••••••• I••• (listed 2022-03-11, absent 2023-03-28)Mar 28, 2023 · Control person left · inference
- S••••••••• A•••• M••••••••• I••• reported RAUM $453.1M, up 34% from $339.1M (2021-05-25 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
- Laurence Stephen Hyde (Director) no longer on Schedule A of S••••••••• A•••• M••••••••• I••• (listed 2019-03-14, absent 2020-03-07)Mar 7, 2020 · Control person left · inference
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@smithbridgeasset.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-361-9141reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- S•••••••••ASSET.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-361-9141reportedpublic record, Form ADV, Sep 3, 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
- $138Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026