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
P•••••••• W••••• M••••••••• I••
Latest filing May 2, 2012
First filing on the tape Nov 23, 2011 · 6 filings
RAUM
$17.4M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$8.7M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$17.4M as of May 2, 2012
Nov 23, 2011$25.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 2, 2012; every figure names its basis
- RAUM per advisor
- $8.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $173,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 100reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• L•• S••••Chartered Financial Consultant | Erie, Pa | Jan 7, 1992 | 43 y | 0 |
| R•••••• E••••• S•••• | Erie, Pa | Sep 5, 2018 | 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
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
- S••••• D•••••• L•• · Ownercontrolsince 01/1992 · owns 75% or more
- S••••• D••••• L••• · Chief Operations Officersince 11/1999 · owns less than 5%
Related persons
Schedule D 7.A
- P•••••••• P•••••• C•••••• P•••••••• I•••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Erie, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corry, PA
What changed
consecutive filings, newest first
- Accounts · 97 to 100Apr 24, 2012 to Apr 30, 2012
- Discretionary RAUM · $16.5M to $16.6MApr 24, 2012 to Apr 30, 2012
- Non-discretionary RAUM · $801,844 to $744,268Apr 24, 2012 to Apr 30, 2012
- RAUM · $17.3M to $17.4MApr 24, 2012 to Apr 30, 2012
- Accounts · 100 to 97Feb 24, 2012 to Apr 24, 2012
- Discretionary RAUM · $16.6M to $16.5MFeb 24, 2012 to Apr 24, 2012
- Non-discretionary RAUM · $744,268 to $801,844Feb 24, 2012 to Apr 24, 2012
- RAUM · $17.4M to $17.3MFeb 24, 2012 to Apr 24, 2012
- Accounts · 212 to 100Nov 23, 2011 to Feb 24, 2012
- Advisory activities · 5 to 4Nov 23, 2011 to Feb 24, 2012
- Financial planning clients · 26-50 to 11-25Nov 23, 2011 to Feb 24, 2012
- Discretionary RAUM · $17.4M to $16.6MNov 23, 2011 to Feb 24, 2012
- Non-discretionary RAUM · $7.7M to $744,268Nov 23, 2011 to Feb 24, 2012
- RAUM · $25.1M to $17.4MNov 23, 2011 to Feb 24, 2012
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
- Website
- P••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $8.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026