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
N•••••••• A•••••••• I•••
Legal name N•••••••• A••••••• I••
Latest filing Mar 19, 2026
First filing on the tape Mar 13, 2012 · 22 filings
SEC status approved since Jul 5, 2000
RAUM
$639M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
68%
$434M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$160M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$639M as of Mar 19, 2026
Mar 13, 2012$253M then
HNW client RAUM$346M as of Mar 19, 2026
Feb 26, 2018$186M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 21, 20132 then
Employees (5.A)5 as of Mar 19, 2026
Mar 21, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+9.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 19, 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
- $160MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 32%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $175M, 130 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$346M54%
- Pension and profit-sharing plans$164M26%
- Individuals$88.4M14%
- Charitable organizations$40.1M6.3%
- Corporations and businesses$314,0000.0%
- Individual clients
- 228reported
- HNW clients
- 105reported
- Pension plan clients
- 40reported
- Charitable clients
- 2reported
- Accounts
- 376reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $175M for 130 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••••• D••••• | Paoli, Pa | Aug 3, 2000 | 36 y | 0 |
| R•••••• P••••••Certified Financial Planner | Paoli, Pa | Jul 21, 2015 | 11 y | 0 |
| E••• J• B••••••Certified Financial Planner | Paoli, Pa | May 5, 2017 | 23 y | 0 |
| S•••• E• C•••••••• | Paoli, Pa | Aug 4, 2021 | 11 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
- L••••••• P••••• H••••••• to T•••••••• A••••••• G••••• I•••Aug 4, 2017 · Other
- N••••• S••• M••••••• to T••••• W••••• M••••••••• L••Apr 30, 2015 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••• M•••••• · Presidentcontrolsince 06/2000 · owns 75% or more
- B••••••• E•••• J• · Investment Advisory Representativesince 01/2010 · owns 10% to 25%
- C•••••••• R•••••• · Chief Compliance Officersince 07/2015 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Paoli, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mountain Top, PA1 employees
- Sugarloaf, PA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 19, 2026discretionary share of RAUM of 0% against a peer median of 99% (1482 comparable advisers, 0.0th percentile, 33.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 364 to 376Mar 31, 2025 to Mar 19, 2026
- Charity clients · unset to 2.0Mar 31, 2025 to Mar 19, 2026
- Corporate clients · unset to 1.0Mar 31, 2025 to Mar 19, 2026
- HNW clients · 103 to 105Mar 31, 2025 to Mar 19, 2026
- Individual clients · 217 to 228Mar 31, 2025 to Mar 19, 2026
- Pension plan clients · 42 to 40Mar 31, 2025 to Mar 19, 2026
- Assets in custody · $141M to $175MMar 31, 2025 to Mar 19, 2026
- Employees · 4 to 5Mar 31, 2025 to Mar 19, 2026
- HNW RAUM · $287M to $346MMar 31, 2025 to Mar 19, 2026
- Individual RAUM · $90.9M to $88.4MMar 31, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $576M to $639MMar 31, 2025 to Mar 19, 2026
- Pension RAUM · $166M to $164MMar 31, 2025 to Mar 19, 2026
- RAUM · $576M to $639MMar 31, 2025 to Mar 19, 2026
- Accounts · 353 to 364Mar 25, 2024 to Mar 31, 2025
- HNW clients · 105 to 103Mar 25, 2024 to Mar 31, 2025
- Individual clients · 203 to 217Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $111M to $141MMar 25, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 25, 2024 to Mar 31, 2025
- HNW RAUM · $258M to $287MMar 25, 2024 to Mar 31, 2025
- Individual RAUM · $74.0M to $90.9MMar 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $517M to $576MMar 25, 2024 to Mar 31, 2025
- Pension RAUM · $156M to $166MMar 25, 2024 to Mar 31, 2025
- RAUM · $517M to $576MMar 25, 2024 to Mar 31, 2025
- Accounts · 342 to 353Oct 16, 2023 to Mar 25, 2024
- HNW clients · 111 to 105Oct 16, 2023 to Mar 25, 2024
- Individual clients · 186 to 203Oct 16, 2023 to Mar 25, 2024
- Pension plan clients · 43 to 42Oct 16, 2023 to Mar 25, 2024
- Pooled vehicle clients · 0.0 to unsetOct 16, 2023 to Mar 25, 2024
- Assets in custody · unset to 111127000.0Oct 16, 2023 to Mar 25, 2024
- Custody of client assets · false to trueOct 16, 2023 to Mar 25, 2024
- HNW RAUM · $231M to $258MOct 16, 2023 to Mar 25, 2024
- Individual RAUM · $53.8M to $74.0MOct 16, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $489M to $517MOct 16, 2023 to Mar 25, 2024
- Pension RAUM · $178M to $156MOct 16, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · 0.0 to unsetOct 16, 2023 to Mar 25, 2024
- RAUM · $489M to $517MOct 16, 2023 to Mar 25, 2024
- Accounts · 338 to 342Mar 30, 2022 to Mar 28, 2023
- HNW clients · 108 to 111Mar 30, 2022 to Mar 28, 2023
- Individual clients · 178 to 186Mar 30, 2022 to Mar 28, 2023
- Pension plan clients · 49 to 43Mar 30, 2022 to Mar 28, 2023
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 email
- a•••••@n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-240-7955reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-240-7956reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-971-7039reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- N••••••••ADVISERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-240-7955reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- n•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- n•••••••••.comreportedpublished 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
- $160Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026