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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Former SEC-registered adviser
X••••• I••••••••• A•••••••• I•••
Latest filing Apr 19, 2024
First filing on the tape Jan 6, 2012 · 21 filings
RAUM
$823M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
62%
$508M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$823M as of Mar 29, 2024
Mar 15, 2012$447M then
HNW client RAUM$435M as of Mar 29, 2024
Mar 21, 2018$154M then
State-registered IARs (5.B.3)9 as of Mar 29, 2024
Mar 15, 20120 then
Employees (5.A)11 as of Mar 29, 2024
Mar 20, 201310 then
Private funds: no history
RAUM +12% over the last fiscal year+1.4% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Apr 19, 2024; every figure names its basis
- RAUM per advisor
- $91.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $817,582derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $460M, 145 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$435M53%
- Pension and profit-sharing plans$231M28%
- Individuals$72.6M8.8%
- Charitable organizations$43.7M5.3%
- Corporations and businesses$40.7M4.9%
- Individual clients
- 193reported
- HNW clients
- 137reported
- Pension plan clients
- 17reported
- Charitable clients
- 6reported
- Accounts
- 1,007reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $460M for 145 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C•••••••• M•••• S•••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- J••• H••••• C••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- J••••• G•••••••• S•••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- M•••••• B•••••• G••••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- B••• J••••••• S••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- N•••••• A•• E••••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- B•••••• J••••• P•••••• to C••••• P••••••• L••Sep 4, 2024 · RIA to RIA
- K•••• F• F••••• to K••••• P•••••• W••••• S•••••••• L••Aug 20, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 7 left for C••••• P••••••• L••Sep 4, 2024 · Pittsburgh, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• J•••• H••••• · Principal, Secretarycontrolsince 01/2001 · owns 25% to 50%
- G••••••••• M••••••• B•••••• · Principal, Vice Presidentcontrolsince 02/2008 · owns 10% to 25%
- S••••••••• J•••••• G•••••••• · Principal, President, Treasurercontrolsince 07/2006 · owns 25% to 50%
- S•••••••• B•••• J••••••• · Principal, Vice Presidentcontrolsince 01/2002 · owns 25% to 50%
- K••••••• J•••••••• G• · Chief Compliance Officersince 06/2023 · 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 | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 952 to 1,007Jul 3, 2023 to Mar 29, 2024
- Charity clients · 8 to 6Jul 3, 2023 to Mar 29, 2024
- Corporate clients · 13 to 17Jul 3, 2023 to Mar 29, 2024
- HNW clients · 134 to 137Jul 3, 2023 to Mar 29, 2024
- Individual clients · 181 to 193Jul 3, 2023 to Mar 29, 2024
- Pension plan clients · 22 to 17Jul 3, 2023 to Mar 29, 2024
- Assets in custody · $211M to $460MJul 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $732M to $823MJul 3, 2023 to Mar 29, 2024
- HNW RAUM · $381M to $435MJul 3, 2023 to Mar 29, 2024
- Individual RAUM · $55.6M to $72.6MJul 3, 2023 to Mar 29, 2024
- Pension RAUM · $230M to $231MJul 3, 2023 to Mar 29, 2024
- RAUM · $732M to $823MJul 3, 2023 to Mar 29, 2024
- Accounts · 838 to 952Apr 5, 2022 to Mar 31, 2023
- Advisory activities · 4 to 3Apr 5, 2022 to Mar 31, 2023
- Charity clients · 7 to 8Apr 5, 2022 to Mar 31, 2023
- Corporate clients · 12 to 13Apr 5, 2022 to Mar 31, 2023
- HNW clients · 137 to 134Apr 5, 2022 to Mar 31, 2023
- Individual clients · 141 to 181Apr 5, 2022 to Mar 31, 2023
- Pension plan clients · 24 to 22Apr 5, 2022 to Mar 31, 2023
- Assets in custody · $221M to $211MApr 5, 2022 to Mar 31, 2023
- Discretionary RAUM · $909M to $732MApr 5, 2022 to Mar 31, 2023
- HNW RAUM · $479M to $381MApr 5, 2022 to Mar 31, 2023
- Individual RAUM · $45.1M to $55.6MApr 5, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $91,506 to $0Apr 5, 2022 to Mar 31, 2023
- Pension RAUM · $267M to $230MApr 5, 2022 to Mar 31, 2023
- RAUM · $909M to $732MApr 5, 2022 to Mar 31, 2023
- Accounts · 863 to 838Mar 30, 2021 to Mar 30, 2022
- Advisory employees · 7 to 8Mar 30, 2021 to Mar 30, 2022
- Charity clients · 8 to 7Mar 30, 2021 to Mar 30, 2022
- Corporate clients · 15 to 12Mar 30, 2021 to Mar 30, 2022
- HNW clients · 130 to 137Mar 30, 2021 to Mar 30, 2022
- Individual clients · 159 to 141Mar 30, 2021 to Mar 30, 2022
- Pension plan clients · 21 to 24Mar 30, 2021 to Mar 30, 2022
- Assets in custody · $184M to $221MMar 30, 2021 to Mar 30, 2022
- Employees · 10 to 11Mar 30, 2021 to Mar 30, 2022
- State-registered IARs · 8 to 9Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $790M to $909MMar 30, 2021 to Mar 30, 2022
- HNW RAUM · $411M to $479MMar 30, 2021 to Mar 30, 2022
- Individual RAUM · $45.2M to $45.1MMar 30, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $7,775 to $91,506Mar 30, 2021 to Mar 30, 2022
Signals
9 dated events
- J••••• G•••••••• S•••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-27)Sep 4, 2024 · Advisor changed firm · fact
- B••• J••••••• S••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-27)Sep 4, 2024 · Advisor changed firm · fact
- B•••••• J••••• P•••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-27)Sep 4, 2024 · Advisor changed firm · fact
- C•••••••• M•••• S•••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-27)Sep 4, 2024 · Advisor changed firm · fact
- J••• H••••• C••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-28)Sep 4, 2024 · Advisor changed firm · fact
- N•••••• A•• E••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2025-08-20)Sep 4, 2024 · Advisor changed firm · fact
- M•••••• B•••••• G••••••••• left X••••• I••••••••• A•••••••• I••• for C••••• P••••••• L•• (registered 2024-08-28)Sep 4, 2024 · Advisor changed firm · fact
- X••••• I••••••••• A•••••••• I•••'s advisors moved to C••••• P••••••• L•• (Pittsburgh, PA): 7 of 7 registered, on the same daySep 4, 2024 · Firm absorbed (people side) · derived
- K•••• F• F••••• left X••••• I••••••••• A•••••••• I••• for K••••• P•••••• W••••• S•••••••• L•• (registered 2024-08-20)Aug 20, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026