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
I•• F•••••••• G•••• I••
Latest filing Apr 1, 2022
First filing on the tape Mar 30, 2012 · 35 filings
RAUM
$722M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$666M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$722M as of Mar 28, 2022
Mar 30, 2012$192M then
HNW client RAUM$568M as of Mar 28, 2022
Mar 16, 2018$293M then
State-registered IARs (5.B.3)2 as of Mar 28, 2022
Mar 30, 20120 then
Employees (5.A)5 as of Mar 28, 2022
Feb 5, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 1, 2022; every figure names its basis
- RAUM per advisor
- $361MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $359,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $28.5M, 40 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$568M79%
- Individuals$97.6M14%
- Pension and profit-sharing plans$55.5M7.7%
- Charitable organizations$731,9380.1%
- Individual clients
- 195reported
- HNW clients
- 270reported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 2,008reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.5M for 40 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
- L•••• L•• P•••• to G••••••••• A•••••••• L••Sep 15, 2022 · Other
- T•••••• J•• D••••• to G••••••••• A•••••••• L••Sep 15, 2022 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G••••••••• A•••••••• L••Sep 15, 2022 · Lancaster, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• T••••••• J•• · President, Secretary, Treasurer, Vice President, Chief Compliance Officercontrolsince 05/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HNW clients · 226 to 270Aug 16, 2021 to Mar 28, 2022
- Individual clients · 226 to 195Aug 16, 2021 to Mar 28, 2022
- Assets in custody · $16.2M to $28.5MAug 16, 2021 to Mar 28, 2022
- Discretionary RAUM · $610M to $722MAug 16, 2021 to Mar 28, 2022
- HNW RAUM · $456M to $568MAug 16, 2021 to Mar 28, 2022
- Individual RAUM · $111M to $97.6MAug 16, 2021 to Mar 28, 2022
- Pension RAUM · $41.9M to $55.5MAug 16, 2021 to Mar 28, 2022
- RAUM · $610M to $722MAug 16, 2021 to Mar 28, 2022
- Accounts · 1,928 to 2,008Aug 16, 2021 to Mar 28, 2022
- Accounts · 1,933 to 1,928Nov 10, 2020 to Mar 11, 2021
- HNW clients · 187 to 226Nov 10, 2020 to Mar 11, 2021
- Individual clients · 248 to 226Nov 10, 2020 to Mar 11, 2021
- Pension plan clients · 8 to 9Nov 10, 2020 to Mar 11, 2021
- Assets in custody · $8.3M to $16.2MNov 10, 2020 to Mar 11, 2021
- Employees · 7 to 5Nov 10, 2020 to Mar 11, 2021
- Discretionary RAUM · $512M to $610MNov 10, 2020 to Mar 11, 2021
- HNW RAUM · $354M to $456MNov 10, 2020 to Mar 11, 2021
- Individual RAUM · $121M to $111MNov 10, 2020 to Mar 11, 2021
- Pension RAUM · $37.4M to $41.9MNov 10, 2020 to Mar 11, 2021
- RAUM · $512M to $610MNov 10, 2020 to Mar 11, 2021
- Accounts · 1,742 to 1,933May 17, 2019 to Mar 23, 2020
- HNW clients · 135 to 187May 17, 2019 to Mar 23, 2020
- Individual clients · 270 to 248May 17, 2019 to Mar 23, 2020
- Assets in custody · $2.5M to $8.3MMay 17, 2019 to Mar 23, 2020
- Discretionary RAUM · $441M to $512MMay 17, 2019 to Mar 23, 2020
- HNW RAUM · $263M to $354MMay 17, 2019 to Mar 23, 2020
- Individual RAUM · $138M to $121MMay 17, 2019 to Mar 23, 2020
- Pension RAUM · $40.4M to $37.4MMay 17, 2019 to Mar 23, 2020
- RAUM · $441M to $512MMay 17, 2019 to Mar 23, 2020
- Accounts · 1,639 to 1,742Sep 28, 2018 to Mar 28, 2019
- HNW clients · 159 to 135Sep 28, 2018 to Mar 28, 2019
- Individual clients · 254 to 270Sep 28, 2018 to Mar 28, 2019
- Pension plan clients · 9 to 8Sep 28, 2018 to Mar 28, 2019
- Assets in custody · unset to 2475339.0Sep 28, 2018 to Mar 28, 2019
- Custody of client assets · false to trueSep 28, 2018 to Mar 28, 2019
- Employees · 5 to 7Sep 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $460M to $441MSep 28, 2018 to Mar 28, 2019
- HNW RAUM · $293M to $263MSep 28, 2018 to Mar 28, 2019
- Individual RAUM · $126M to $138MSep 28, 2018 to Mar 28, 2019
- Pension RAUM · $41.5M to $40.4MSep 28, 2018 to Mar 28, 2019
Signals
3 dated events
- T•••••• J•• D••••• left I•• F•••••••• G•••• I•• for G••••••••• A•••••••• L•• (registered 2022-09-19)Sep 15, 2022 · Advisor changed firm · fact
- 2 advisors left I•• F•••••••• G•••• I•• (Lancaster, PA) for G••••••••• A•••••••• L•• on the same daySep 15, 2022 · Team lift-out · derived
- L•••• L•• P•••• left I•• F•••••••• G•••• I•• for G••••••••• A•••••••• L•• (registered 2022-08-26)Sep 15, 2022 · 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