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
M•••••• • C• L••
Latest filing Apr 17, 2026
First filing on the tape Mar 9, 2012 · 23 filings
SEC status approved since Apr 8, 1999
RAUM
$656M
reported, Item 5.F
Discretionary
0.4%
of RAUM
Private clients
100%
$656M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$219M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$656M as of Apr 17, 2026
Mar 9, 2012$163M then
HNW client RAUM$637M as of Apr 17, 2026
Mar 27, 2018$274M then
State-registered IARs (5.B.3)3 as of Apr 17, 2026
Mar 9, 20120 then
Employees (5.A)3 as of Apr 17, 2026
Mar 18, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $219MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $2.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.4%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $275M, 231 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$637M97%
- Individuals$18.6M2.8%
- Individual clients
- 53reported
- HNW clients
- 187reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 240reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $275M for 231 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••••• M•••••• | Bryn Mawr, Pa | Feb 20, 1998 | 29 y | 0 |
| B•••••• M•••••• M••••••Certified Financial Planner | Bryn Mawr, Pa | Jul 5, 2001 | 28 y | 0 |
| B•••• J••••• M•••••• | Bryn Mawr, Pa | Jul 5, 2001 | 28 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
- M••••••• B••••••• M•••••• · Partner/Chief Compliance Officercontrolsince 01/1998 · owns 50% to 75%
- M••••••• B••••• J••••• · Investment Advisor Representativecontrolsince 08/1997 · owns less than 5%
- M••••••• B••••• J••••• · Partnercontrolsince 01/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
- M•••••• • C• L••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bryn Mawr, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 238 to 240Mar 17, 2025 to Mar 24, 2026
- HNW clients · 179 to 187Mar 17, 2025 to Mar 24, 2026
- Individual clients · 59 to 53Mar 17, 2025 to Mar 24, 2026
- Assets in custody · $242M to $275MMar 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $3.1M to $2.9MMar 17, 2025 to Mar 24, 2026
- HNW RAUM · $556M to $637MMar 17, 2025 to Mar 24, 2026
- Individual RAUM · $19.7M to $18.6MMar 17, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $572M to $653MMar 17, 2025 to Mar 24, 2026
- RAUM · $575M to $656MMar 17, 2025 to Mar 24, 2026
- Accounts · 236 to 238Mar 26, 2024 to Mar 17, 2025
- HNW clients · 166 to 179Mar 26, 2024 to Mar 17, 2025
- Individual clients · 70 to 59Mar 26, 2024 to Mar 17, 2025
- Assets in custody · $197M to $242MMar 26, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 17, 2025
- Discretionary RAUM · $3.0M to $3.1MMar 26, 2024 to Mar 17, 2025
- HNW RAUM · $459M to $556MMar 26, 2024 to Mar 17, 2025
- Individual RAUM · $26.2M to $19.7MMar 26, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $482M to $572MMar 26, 2024 to Mar 17, 2025
- RAUM · $485M to $575MMar 26, 2024 to Mar 17, 2025
- Accounts · 235 to 236Mar 10, 2023 to Mar 26, 2024
- HNW clients · 165 to 166Mar 10, 2023 to Mar 26, 2024
- Assets in custody · $151M to $197MMar 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $4.1M to $3.0MMar 10, 2023 to Mar 26, 2024
- HNW RAUM · $391M to $459MMar 10, 2023 to Mar 26, 2024
- Individual RAUM · $23.6M to $26.2MMar 10, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $410M to $482MMar 10, 2023 to Mar 26, 2024
- RAUM · $414M to $485MMar 10, 2023 to Mar 26, 2024
- Assets in custody · $197M to $151MAug 16, 2022 to Mar 10, 2023
- Discretionary RAUM · $4.6M to $4.1MAug 16, 2022 to Mar 10, 2023
- HNW RAUM · $462M to $391MAug 16, 2022 to Mar 10, 2023
- Individual RAUM · $24.5M to $23.6MAug 16, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $482M to $410MAug 16, 2022 to Mar 10, 2023
- RAUM · $486M to $414MAug 16, 2022 to Mar 10, 2023
- Accounts · 228 to 235Mar 25, 2021 to Mar 17, 2022
- HNW clients · 157 to 165Mar 25, 2021 to Mar 17, 2022
- Individual clients · 71 to 70Mar 25, 2021 to Mar 17, 2022
- Assets in custody · $161M to $197MMar 25, 2021 to Mar 17, 2022
- Discretionary RAUM · $4.3M to $4.6MMar 25, 2021 to Mar 17, 2022
- HNW RAUM · $388M to $462MMar 25, 2021 to Mar 17, 2022
- Individual RAUM · $25.5M to $24.5MMar 25, 2021 to Mar 17, 2022
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
- Business phone
- 610-520-2400reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- M••••••CO.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-520-2400reportedpublic record, Form ADV, Apr 17, 2026
- Contact form
- m••••••••.comreportedpublished 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
- $219Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026