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
C•••• C•••••• I••••••••• A•••••••
Legal name P• J• R•••••• L•••
Latest filing Feb 20, 2024
First filing on the tape Mar 2, 2012 · 21 filings
RAUM
$210M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$210M as of Feb 20, 2024
Mar 2, 2012$124M then
HNW client RAUM$97.0M as of Feb 20, 2024
Feb 1, 2018$70.4M then
State-registered IARs (5.B.3)6 as of Feb 20, 2024
Mar 2, 20120 then
Employees (5.A)7 as of Feb 20, 2024
Mar 2, 20138 then
Private funds: no history
RAUM +17% over the last fiscal year+6.8% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Feb 20, 2024; every figure names its basis
- RAUM per advisor
- $35.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $193,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.1%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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 securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$104M50%
- High-net-worth individuals$97.0M46%
- Charitable organizations$5.4M2.5%
- Corporations and businesses$2.2M1.0%
- Pension and profit-sharing plans$1.7M0.8%
- Individual clients
- 404reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,088reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- P••••••• A•• W••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• G•••••• I••••••••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- A••••• D•••• S•••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- A••••• D•••• S••••••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- C•••••• K•••• P••••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- P•••• J•••• R••••• to S••••• F••••••••• L••Aug 6, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• P••• W••••• to A•••••• A••••••• S•••••••Mar 10, 2016 · Other
- J••••••• A••••• M•••• to G••••• W••••• M••••••••• I•••Jul 19, 2006 · Other
Joined, latest
- C•••••• K•••• P••••• from P•• W••••• M•••••••••Jul 21, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for S••••• F••••••••• L••Aug 6, 2024 · Harleysville, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• P••••• J•••• · Presidentcontrolsince 01/1989 · owns 75% or more
- I••••••••• M••••••• G•••••• · Chief Compliance Officersince 05/2022 · owns less than 5%
- W•••• P•••••••• A•• · Directorsince 07/2011 · owns less than 5%
Related persons
Schedule D 7.A
- B••••••••• • R••••• P•insurancey
- B•••• I•••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harleysville, Pa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lancaster, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,084 to 1,088Oct 25, 2023 to Feb 20, 2024
- HNW clients · 44 to 51Oct 25, 2023 to Feb 20, 2024
- Individual clients · 389 to 404Oct 25, 2023 to Feb 20, 2024
- Assets in custody · $62.8M to $73.0MOct 25, 2023 to Feb 20, 2024
- Custody of client assets · true to falseOct 25, 2023 to Feb 20, 2024
- State-registered IARs · 5 to 6Oct 25, 2023 to Feb 20, 2024
- Discretionary RAUM · $173M to $203MOct 25, 2023 to Feb 20, 2024
- HNW RAUM · $79.0M to $97.0MOct 25, 2023 to Feb 20, 2024
- Individual RAUM · $94.3M to $104MOct 25, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $7.2M to $8.0MOct 25, 2023 to Feb 20, 2024
- Pension RAUM · $1.4M to $1.7MOct 25, 2023 to Feb 20, 2024
- RAUM · $180M to $210MOct 25, 2023 to Feb 20, 2024
- Accounts · 1,039 to 1,084Jun 7, 2022 to Feb 14, 2023
- HNW clients · 47 to 44Jun 7, 2022 to Feb 14, 2023
- Individual clients · 364 to 389Jun 7, 2022 to Feb 14, 2023
- Assets in custody · $87.5M to $62.8MJun 7, 2022 to Feb 14, 2023
- Discretionary RAUM · $201M to $173MJun 7, 2022 to Feb 14, 2023
- HNW RAUM · $98.1M to $79.0MJun 7, 2022 to Feb 14, 2023
- Individual RAUM · $102M to $94.3MJun 7, 2022 to Feb 14, 2023
- Non-discretionary RAUM · $5.0M to $7.2MJun 7, 2022 to Feb 14, 2023
- Pension RAUM · $1.6M to $1.4MJun 7, 2022 to Feb 14, 2023
- RAUM · $206M to $180MJun 7, 2022 to Feb 14, 2023
- Advisory employees · 5 to 7Mar 19, 2021 to Feb 11, 2022
- Accounts · 1,016 to 1,039Mar 19, 2021 to Feb 11, 2022
- HNW clients · 39 to 47Mar 19, 2021 to Feb 11, 2022
- Individual clients · 383 to 364Mar 19, 2021 to Feb 11, 2022
- Pension plan clients · 4 to 0Mar 19, 2021 to Feb 11, 2022
- Employees · 8 to 7Mar 19, 2021 to Feb 11, 2022
- Discretionary RAUM · $169M to $201MMar 19, 2021 to Feb 11, 2022
- HNW RAUM · $77.9M to $98.1MMar 19, 2021 to Feb 11, 2022
- Individual RAUM · $91.8M to $102MMar 19, 2021 to Feb 11, 2022
- Non-discretionary RAUM · $4.2M to $5.0MMar 19, 2021 to Feb 11, 2022
- Pension RAUM · $3.1M to $1.6MMar 19, 2021 to Feb 11, 2022
- RAUM · $173M to $206MMar 19, 2021 to Feb 11, 2022
- Accounts · 969 to 1,016Jun 24, 2020 to Mar 19, 2021
- Advisory employees · 6 to 5Jun 24, 2020 to Mar 19, 2021
- Charity clients · 12 to 0Jun 24, 2020 to Mar 19, 2021
- Individual clients · 397 to 383Jun 24, 2020 to Mar 19, 2021
- Pension plan clients · 17 to 4Jun 24, 2020 to Mar 19, 2021
- Assets in custody · $6.2M to $87.5MJun 24, 2020 to Mar 19, 2021
Signals
7 dated events
- A••••• D•••• S•••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-03)Aug 6, 2024 · Advisor changed firm · fact
- M•••••• G•••••• I••••••••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-03)Aug 6, 2024 · Advisor changed firm · fact
- P••••••• A•• W••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-03)Aug 6, 2024 · Advisor changed firm · fact
- A••••• D•••• S••••••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-03)Aug 6, 2024 · Advisor changed firm · fact
- C•••••• K•••• P••••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-03)Aug 6, 2024 · Advisor changed firm · fact
- P•••• J•••• R••••• left C•••• C•••••• I••••••••• A••••••• for S••••• F••••••••• L•• (registered 2024-07-18)Aug 6, 2024 · Advisor changed firm · fact
- C•••• C•••••• I••••••••• A•••••••'s advisors moved to S••••• F••••••••• L•• (Harleysville, PA): 6 of 6 registered, on the same dayAug 6, 2024 · Firm absorbed (people side) · derived
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