DFX Intelligence
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W••••• I••••••••• M••••••••• I••
Independent wealth manager, based in Wyomissing, Pennsylvania, reporting $130M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $130M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +6.5%
- Private clients
- 93% of RAUM, $121M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 5
Every filed figure, and the identifiersCRD 106991 · SEC 801-124822 · 12 filingsShowHide
CRD 106991SEC 801-124822First filing on the tape Jan 27, 2012, latest Mar 12, 2026SEC status approved since Apr 29, 2022IAPD
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$121M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$130M as of Mar 12, 2026
Jan 27, 2012$51.3M then
HNW client RAUM$99.0M as of Mar 12, 2026
Mar 28, 2023$79.6M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Jan 27, 20120 then
Employees (5.A)2 as of Mar 12, 2026
Mar 28, 20232 then
Private funds: no history
RAUM +6.5% over the last fiscal year+5.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $65.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $556,311derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- Custody
- $39.9M, 31 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.0M76%
- Individuals$22.2M17%
- Pension and profit-sharing plans$6.1M4.7%
- Charitable organizations$1.7M1.3%
- Corporations and businesses$1.1M0.8%
- Individual clients
- 61reported
- HNW clients
- 40reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 234reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.9M for 31 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••••••• A•• W••• | Wyomissing, Pa | May 25, 2000 | 28 y | 0 |
| C•••• D•••••• H•••• | Wyomissing, Pa | Sep 16, 2002 | 26 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••• D•••••• · Chairman, President & Treasurercontrolsince 01/2012 · owns 75% or more
- W•••• E••••••••• A•• · Vice-President, Secretary, & Chief Compliance Officercontrolsince 04/2000 · 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 |
|---|---|---|---|---|---|
| Wyomissing, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 227 to 234Mar 26, 2025 to Mar 12, 2026
- Charity clients · unset to 2.0Mar 26, 2025 to Mar 12, 2026
- Corporate clients · unset to 2.0Mar 26, 2025 to Mar 12, 2026
- HNW clients · 33 to 40Mar 26, 2025 to Mar 12, 2026
- Individual clients · 63 to 61Mar 26, 2025 to Mar 12, 2026
- Pension plan clients · unset to 2.0Mar 26, 2025 to Mar 12, 2026
- Assets in custody · $45.5M to $39.9MMar 26, 2025 to Mar 12, 2026
- Financial planning clients · to 0Mar 26, 2025 to Mar 12, 2026
- Discretionary RAUM · $122M to $130MMar 26, 2025 to Mar 12, 2026
- HNW RAUM · $88.4M to $99.0MMar 26, 2025 to Mar 12, 2026
- Individual RAUM · $24.5M to $22.2MMar 26, 2025 to Mar 12, 2026
- Pension RAUM · $6.7M to $6.1MMar 26, 2025 to Mar 12, 2026
- RAUM · $122M to $130MMar 26, 2025 to Mar 12, 2026
- Accounts · 222 to 227Mar 15, 2024 to Mar 26, 2025
- HNW clients · 32 to 33Mar 15, 2024 to Mar 26, 2025
- Individual clients · 65 to 63Mar 15, 2024 to Mar 26, 2025
- Assets in custody · $42.9M to $45.5MMar 15, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 15, 2024 to Mar 26, 2025
- Discretionary RAUM · $117M to $122MMar 15, 2024 to Mar 26, 2025
- HNW RAUM · $84.4M to $88.4MMar 15, 2024 to Mar 26, 2025
- Individual RAUM · $25.3M to $24.5MMar 15, 2024 to Mar 26, 2025
- Pension RAUM · $4.9M to $6.7MMar 15, 2024 to Mar 26, 2025
- RAUM · $117M to $122MMar 15, 2024 to Mar 26, 2025
- Accounts · 229 to 222Mar 28, 2023 to Mar 15, 2024
- Charity clients · 2.0 to unsetMar 28, 2023 to Mar 15, 2024
- Corporate clients · 2.0 to unsetMar 28, 2023 to Mar 15, 2024
- Individual clients · 66 to 65Mar 28, 2023 to Mar 15, 2024
- Pension plan clients · 2.0 to unsetMar 28, 2023 to Mar 15, 2024
- Assets in custody · $41.9M to $42.9MMar 28, 2023 to Mar 15, 2024
- Discretionary RAUM · $111M to $117MMar 28, 2023 to Mar 15, 2024
- HNW RAUM · $79.6M to $84.4MMar 28, 2023 to Mar 15, 2024
- Individual RAUM · $22.8M to $25.3MMar 28, 2023 to Mar 15, 2024
- Pension RAUM · $6.4M to $4.9MMar 28, 2023 to Mar 15, 2024
- RAUM · $111M to $117MMar 28, 2023 to Mar 15, 2024
- Accounts · 214 to 229Nov 28, 2022 to Mar 28, 2023
- Advisory activities · 3 to 4Nov 28, 2022 to Mar 28, 2023
- Charity clients · 0 to 2Nov 28, 2022 to Mar 28, 2023
- Corporate clients · 0 to 2Nov 28, 2022 to Mar 28, 2023
- HNW clients · 26 to 32Nov 28, 2022 to Mar 28, 2023
- Individual clients · 70 to 66Nov 28, 2022 to Mar 28, 2023
Signals
2 dated events
- ••• LockedMar 30, 2022 · First SEC registration · fact
- ••• LockedFeb 9, 2012 · Succession (Item 4) · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
- $65.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026