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
C•••••• I••••••• S••••••• I••
Latest filing Sep 9, 2026
First filing on the tape Mar 30, 2012 · 33 filings
SEC status approved since Dec 25, 1969
RAUM
$1.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
68%
$866M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2026
Mar 30, 2012$362M then
HNW client RAUM$777M as of Mar 31, 2026
Mar 20, 2018$348M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 27, 20139 then
Employees (5.A)10 as of Mar 31, 2026
Mar 27, 201310 then
Private funds9 as of Mar 31, 2026
Mar 30, 20127 then
RAUM +6.4% over the last fiscal year+9.8% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Sep 9, 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
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $126M, 44 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$777M61%
- Charitable organizations$132M10%
- Pooled investment vehicles$116M9.1%
- Individuals$89.0M6.9%
- Investment companies$57.2M4.5%
- State and municipal entities$52.2M4.1%
- Corporations and businesses$35.8M2.8%
- Pension and profit-sharing plans$21.8M1.7%
- Individual clients
- 224reported
- HNW clients
- 367reported
- Pension plan clients
- 10reported
- Charitable clients
- 28reported
- Accounts
- 662reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $441M managedreported
- Custody of client assets
- $126M for 44 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.68 fund_share=0.14 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• S••••••••Certified Financial Planner | Wyomissing, Pa | Jul 9, 1998 | 29 y | 0 |
| P•••• J•••• C••••••Chartered Financial Analyst | Wyomissing, Pa | Aug 6, 2002 | 34 y | 0 |
| B•••• G••• M••••Chartered Financial Analyst | Wyomissing, Pa | Nov 26, 2003 | 35 y | 0 |
| R••••• J••• C•••••••Chartered Financial Analyst | Wyomissing, Pa | Nov 26, 2003 | 33 y | 0 |
| S••••• E••• P••••••••Certified Financial Planner | Wyomissing, Pa | Oct 14, 2005 | 39 y | 0 |
| T••••• R•••••• P•••• | Wyomissing, Pa | Mar 10, 2015 | 35 y | 2 |
| R••••• W• H•••Chartered Financial Analyst | Wyomissing, Pa | Sep 29, 2017 | 12 y | 0 |
| D••••• M• C••••• | Wyomissing, Pa | Jan 8, 2018 | 12 y | 2 |
| R••• F• M••••••• | Wyomissing, Pa | Mar 22, 2022 | 20 y | 3 |
| B••••••• R••••• C•••••• | Wyomissing, Pa | Nov 12, 2024 | 10 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
- R••• F• M••••••• from L•• F•••••••• L••Mar 22, 2022 · RIA to RIA
- D••••• M• C••••• from M•••••• C•••••• M••••••••• I••Jan 8, 2018 · Other
- T••••• R•••••• P•••• from B•••••••• F••• A•••••••Mar 10, 2015 · Other
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• I••••• • G••••• P••••••• | Other Private Fund | $27.8M | 78 | Mar 30, 2012 |
| C•• H••••• G••••• P••••••• | Other Private Fund | $27.8M | 75 | Mar 30, 2012 |
| C•• B••••••• I••••••••• P••••••• | Other Private Fund | $26.9M | 78 | Mar 30, 2012 |
| C•• V•••••• P••••••• | Venture Capital Fund | $22.6M | 59 | Sep 18, 2024 |
| C•• B••••••• I••••••••• P••••••• I• | Other Private Fund | $10.9M | 43 | Mar 25, 2017 |
| C•• V•••••• P••••••• 2••• | Venture Capital Fund | $7.9M | 69 | Sep 18, 2024 |
| C•• A••••••••• G••••• P••••••• | Other Private Fund | $7.8M | 76 | Mar 30, 2012 |
| C•• I•••• O•••••••• P••••••• | Other Private Fund | $7.6M | 56 | Mar 30, 2012 |
| C•• M••••••• G••••• P••••••• | Hedge Fund | $7.4M | 56 | Mar 30, 2012 |
| C•• A••••••••• I••••••••• P•••••••no longer reported | Other Private Fund | $1.6M | 9 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R•••••• J••• · Vice Presidentcontrolsince 04/2002 · owns less than 5%
- C••••••• P••••• J•••• · President, Director, Treasurer, Trusteecontrolsince 04/2001 · owns 50% to 75%
- C•••••• D•••••• M• · Vice President/Chief Compliance Officercontrolsince 10/2017 · owns less than 5%
- C•••••••• K••••• F•••••• · Directorcontrolsince 07/2015 · owns less than 5%
- D••••••••• J••• C•••••• · Trusteecontrolsince 01/2020 · owns less than 5%
- F•••••• R••••••• J•• · Directorcontrolsince 03/2012 · owns less than 5%
- H•••• R•••••• W• · Vice President I••••••••• Trust R•••••••• Trustcontrolsince 09/2017 · owns less than 5%
- M•••••••• R•••• F• · Vice Presidentcontrolsince 02/2022 · owns less than 5%
- M••••• B••••• G••• · Vice Presidentcontrolsince 03/2003 · owns less than 5%
- M•••••• M••••• · Directorcontrolsince 11/1969 · owns 10% to 25%
- N•••••• J•••• S• · Directorcontrolsince 03/2026 · owns less than 5%
- O•••••• P•••• G• · Directorcontrolsince 08/2014 · owns less than 5%
- P••••••••• S•••••• E••• · Vice Presidentcontrolsince 05/2005 · owns less than 5%
- S••••••••• S••••• · Senior Vice Presidentcontrolsince 01/2003 · owns less than 5%
- L••••••• R•••••• C•••••• · Shareholdersince 12/2018 · owns less than 5%
- P••••• T•••••• R•••••• · Vice Presidentsince 11/2013 · owns less than 5%
- S••••• R•••••• H•••• · Shareholdersince 04/2001 · owns 5% to 10%
Entity owners
- C••••••• A••• M• R•••••••• T•••• · Shareholder A••• M. C•••••• Trustee To A••• M. C•••••• R•••••••• Trustdirect · owns less than 5%
- C••••••• J•••• M• I••••••••• T•••• · Shareholder A••• M. C•••••• Trustee To J•••• M. C•••••• I••••••••• Trustdirect · owns less than 5%
Related persons
Schedule D 7.A
- F•••••••• L••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wyomissing, Pa · principal | 10 | 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 Sep 9, 2026N•••••• J•••• S• (DIRECTOR) appeared on Schedule A between the filings of 2024-01-12 and 2026-09-09peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 9, 2026
- Private funds · 9 to unsetMar 31, 2026 to Sep 9, 2026
- Succession · false to unsetMar 31, 2026 to Sep 9, 2026
- Accounts · 626 to 662Feb 26, 2026 to Mar 31, 2026
- Advisory employees · 9 to 10Feb 26, 2026 to Mar 31, 2026
- Charity clients · 31 to 28Feb 26, 2026 to Mar 31, 2026
- Corporate clients · 13 to 14Feb 26, 2026 to Mar 31, 2026
- HNW clients · 343 to 367Feb 26, 2026 to Mar 31, 2026
- Individual clients · 210 to 224Feb 26, 2026 to Mar 31, 2026
- Assets in custody · $128M to $126MFeb 26, 2026 to Mar 31, 2026
- Employees · 9 to 10Feb 26, 2026 to Mar 31, 2026
- State-registered IARs · 9 to 10Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.3BFeb 26, 2026 to Mar 31, 2026
- HNW RAUM · $718M to $777MFeb 26, 2026 to Mar 31, 2026
- Individual RAUM · $88.6M to $89.0MFeb 26, 2026 to Mar 31, 2026
- Pension RAUM · $21.7M to $21.8MFeb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $119M to $116MFeb 26, 2026 to Mar 31, 2026
- RAUM · $1.2B to $1.3BFeb 26, 2026 to Mar 31, 2026
- Wrap assets (manager) · $432M to $441MFeb 26, 2026 to Mar 31, 2026
- Accounts · 613 to 626Oct 22, 2024 to Mar 31, 2025
- Charity clients · 34 to 31Oct 22, 2024 to Mar 31, 2025
- HNW clients · 306 to 343Oct 22, 2024 to Mar 31, 2025
- Individual clients · 230 to 210Oct 22, 2024 to Mar 31, 2025
- Assets in custody · $121M to $128MOct 22, 2024 to Mar 31, 2025
- Financial planning clients · unset to Oct 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.1B to $1.2BOct 22, 2024 to Mar 31, 2025
- HNW RAUM · $573M to $718MOct 22, 2024 to Mar 31, 2025
- Individual RAUM · $97.0M to $88.6MOct 22, 2024 to Mar 31, 2025
- Pension RAUM · $20.0M to $21.7MOct 22, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $111M to $119MOct 22, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.2BOct 22, 2024 to Mar 31, 2025
- Wrap assets (manager) · $379M to $432MOct 22, 2024 to Mar 31, 2025
- Assets in custody · $111M to $121MJan 12, 2024 to Sep 18, 2024
- Private funds · 7 to 9Jan 12, 2024 to Sep 18, 2024
- Accounts · 602 to 613Jul 10, 2023 to Jan 12, 2024
- Advisory employees · 8 to 9Jul 10, 2023 to Jan 12, 2024
- Advisory activities · 4 to 5Jul 10, 2023 to Jan 12, 2024
- Charity clients · 33 to 34Jul 10, 2023 to Jan 12, 2024
- Corporate clients · 15 to 13Jul 10, 2023 to Jan 12, 2024
- HNW clients · 281 to 306Jul 10, 2023 to Jan 12, 2024
Signals
6 dated events
- F Ryan Mccallum (Vice President) appeared on Schedule A of C•••••• I••••••• S••••••• I••Jan 12, 2024 · Control person joined · fact
- J Michael Noon (Vice President) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2022-11-04, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- William Moran (Shareholder) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2021-05-10, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Hladun Lidia Zidik (Vice President, Secretary) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2021-05-10, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- C•••••• Jan D•••••••• (Trustee) appeared on Schedule A of C•••••• I••••••• S••••••• I••Apr 1, 2021 · Control person joined · fact
- Milyard James C•••••• (Chairman, Director) no longer on Schedule A of C•••••• I••••••• S••••••• I•• (listed 2019-07-24, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- C•••••• I••••••• S••••••• I•• · Private Equityshared crd · organization
- C•••••• I••••••• S••••••• I•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@connorsinvestor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-376-3181reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-376-7418reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-376-7418reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••I•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-376-7418reportedpublic record, Form ADV, Sep 9, 2026
- Team page
- connorsinvestor.com/teamreportedpublished 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026