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
R•• F•••••••• A••••••• I••
Latest filing Feb 26, 2026
First filing on the tape Mar 27, 2012 · 45 filings
SEC status approved since Jun 13, 1983
RAUM
$2.7B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
65%
$1.8B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
39
22 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$2.7B as of Feb 26, 2026
Mar 27, 2012$588M then
HNW client RAUM$1.7B as of Feb 26, 2026
Mar 29, 2018$904M then
State-registered IARs (5.B.3)22 as of Feb 26, 2026
Mar 21, 201313 then
Employees (5.A)39 as of Feb 26, 2026
Mar 21, 201319 then
Private funds: no history
RAUM +14% over the last fiscal year+12% a year over threeIARs 18 to 22
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $880,885derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +22%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B63%
- Pension and profit-sharing plans$811M30%
- Corporations and businesses$126M4.6%
- Individuals$64.6M2.4%
- Charitable organizations$9.2M0.3%
- Individual clients
- 225reported
- HNW clients
- 494reported
- Pension plan clients
- 53reported
- Charitable clients
- 2reported
- Accounts
- 3,093reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A••• W•••••Certified Financial Planner | Philadelphia, Pa | Aug 29, 1991 | 40 y | 0 |
| M••• C•••••• L••••••Certified Financial Planner | Philadelphia, Pa | Apr 7, 2006 | 20 y | 0 |
| R•••••• J••• D••••Certified Financial Planner | Philadelphia, Pa | Mar 16, 2009 | 29 y | 1 |
| C••••••••• N••• V•••••••Certified Financial Planner | Philadelphia, Pa | Oct 8, 2012 | 16 y | 0 |
| R••••• F••••••• M•••• | Philadelphia, Pa | Nov 19, 2013 | 14 y | 1 |
| I•••• S•••• G••••Certified Financial Planner, Chartered Financial Analyst | Philadelphia, Pa | Apr 18, 2016 | 42 y | 1 |
| M••••••• J•••••• M•••Certified Financial Planner | Philadelphia, Pa | Apr 18, 2016 | 39 y | 1 |
| G•••••• J••• Y•••• | Philadelphia, Pa | Apr 19, 2016 | 26 y | 1 |
| W•••••• G••••• L•••Certified Financial Planner | Philadelphia, Pa | Oct 1, 2018 | 28 y | 2 |
| N••••• M•••• O••••••• | Philadelphia, Pa | Oct 4, 2018 | 20 y | 3 |
| M•••••••• H•••Certified Financial Planner | Philadelphia, Pa | Aug 6, 2020 | 12 y | 0 |
| G••••• J•••• D•••••••••Certified Financial Planner | Philadelphia, Pa | Apr 5, 2021 | 11 y | 1 |
| B•••• J•••• Z••••Certified Financial Planner | Philadelphia, Pa | May 7, 2021 | 11 y | 0 |
| M•••• W•••• B••••Certified Financial Planner | Philadelphia, Pa | Jan 23, 2023 | 14 y | 0 |
| S•••••• F•••••••• H••••••••Certified Financial Planner | Philadelphia, Pa | Jul 1, 2024 | 13 y | 1 |
| M••••• D••• S••••••Certified Financial Planner | Philadelphia, Pa | Oct 1, 2025 | 15 y | 1 |
| L••••• S••••Certified Financial Planner | Philadelphia, Pa | Oct 1, 2025 | 11 y | 2 |
| J•••• W•••••• C•••••• | Philadelphia, Pa | Oct 1, 2025 | 11 y | 0 |
| Z•••••• R••••• M••••••Certified Financial Planner | Philadelphia, Pa | Oct 1, 2025 | 11 y | 1 |
| G•••• L•••••••• M•••••Certified Financial Planner | Philadelphia, Pa | Oct 10, 2025 | 11 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount1 left over 36 months
Left, latest
- P••••• M•••••• V••••••• to V••••• F•••• I••••••••• C••••••••• I•••Feb 24, 2026 · RIA to RIA
- L••• E••••• P•••• to C••••••••• F•••••••• N••••••Aug 18, 2023 · RIA to affiliated broker-dealer or bank
- M••••• M• G••••• to M••••••• C••••• W••••• S•••••••• I•••Aug 14, 2019 · RIA to RIA
- A•••• A• M••••• to O•••••••••Apr 27, 2018 · Other
- M•••••• T•••• W••••••• to H••••••• W••••• A•••••••Aug 28, 2013 · Other
- S•••••• M••• M••••• to F••••••••• W••••• M••••••••• L••Aug 19, 2013 · Other
- P••• A••••• L•••••• to F••••••••• W••••• M••••••••• L••Aug 19, 2013 · Other
- P••• A••••• L•••••• to F•••••••• P••••••• S••••••••• I•••Aug 22, 2005 · Other
- A•••••• J••••• D•••••••• to C•••••••• I••••••••• R•••••••• I•••Jul 1, 2004 · Other
Joined, latest
- M••••• D••• S•••••• from W•• P•••••••• L••Oct 1, 2025 · RIA to RIA
- L••••• S•••• from C••••••Oct 1, 2025 · RIA to RIA
- Z•••••• R••••• M•••••• from O•••• F•• I•••Oct 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• F•••••••• H•••••••• from B•••••• W••••• A•••••••• L••Jul 1, 2024 · RIA to RIA
- G••••• J•••• D••••••••• from C••••••••• F•••••••• N••••••Apr 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••• M•••• O••••••• from I••••••••• I••••••••• F••••••••• L••Oct 4, 2018 · Other
- W•••••• G••••• L••• from T•• M••••••• F•••••••• G••••• I••Oct 1, 2018 · RIA to RIA
- G•••••• J••• Y•••• from P••••••• F•••••••• A•••••••• L••Apr 19, 2016 · Other
- M••••••• J•••••• M••• from P••••••• F•••••••• A•••••••• L••Apr 18, 2016 · Other
- I•••• S•••• G•••• from P••••••• F•••••••• A•••••••• L••Apr 18, 2016 · Other
- M••••• M• G••••• from N•• A•••••••• I•••Jul 16, 2014 · Other
- R••••• F••••••• M•••• from T•• F•••••• G••••• L••Nov 19, 2013 · Other
- M•••••• T•••• W••••••• from A••••••••• F•••••••• S•••••••• L••Jan 4, 2013 · Other
- R•••••• J••• D•••• from T• A••••••••• I•••Mar 16, 2009 · Other
- P••• A••••• L•••••• from F•••••••• P••••••• S••••••••• I•••Jan 8, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from P••••••• F•••••••• A•••••••• L••Mar 30, 2016 · Marlton, Nj · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• E••••••••• A•• · Presidentcontrolsince 03/2017 · owns less than 5%
- D••••• R••••••• J••• · President/Chief Financial Officer/Senior Wealth Advisorcontrolsince 07/2013 · owns 10% to 25%
- L••••••• M•••• C•••••• · Executive Vice Presidentcontrolsince 01/2015 · owns 10% to 25%
- M•••• M•••••••• J•••••• · Senior Vice Presidentcontrolsince 03/2016 · owns 10% to 25%
- W•••••• J••••••• A••• · Chairman & Chief Executive Officercontrolsince 07/2022 · owns 10% to 25%
- Y••••• G••••••• J••• · Chief Investment Officer Operating Officercontrolsince 01/2021 · owns less than 5%
- C••••• K••••• J••• · Chief Compliance Officer/Director Of Operationssince 07/2022 · owns less than 5%
- H•••• M•••••••• · Director Of Tax Standards/Senior Financial Plannersince 04/2024 · owns less than 5%
- L•••• W••••••• G••••• · Senior Financial Plannersince 04/2023 · owns less than 5%
- M••••• R•••••• F••••••• · Vice President Of Personal Wealth Managementsince 04/2018 · owns 5% to 10%
- O•••••••• N•••••• M•••• · Vice President Of Employer Retirement Plan Servicessince 04/2023 · owns less than 5%
- V•••••••• C••••••••• N••• · Vice President Of Client Developmentsince 03/2017 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Philadelphia, Pa · principal | 20 | 5 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA
- Bala Cynwyd, PA
- Malvern, PA
- Marlton, NJ
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 26, 2026D•••••• E••••••••• A•• (PRESIDENT) left Schedule A between the filings of 2024-07-11 and 2026-02-26peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,979 to 3,093Jan 12, 2026 to Feb 26, 2026
- Charity clients · unset to 2.0Jan 12, 2026 to Feb 26, 2026
- Corporate clients · 42 to 63Jan 12, 2026 to Feb 26, 2026
- HNW clients · 457 to 494Jan 12, 2026 to Feb 26, 2026
- Individual clients · 185 to 225Jan 12, 2026 to Feb 26, 2026
- Pension plan clients · 54 to 53Jan 12, 2026 to Feb 26, 2026
- Discretionary RAUM · $2.4B to $2.7BJan 12, 2026 to Feb 26, 2026
- HNW RAUM · $1.4B to $1.7BJan 12, 2026 to Feb 26, 2026
- Individual RAUM · $176M to $64.6MJan 12, 2026 to Feb 26, 2026
- Non-discretionary RAUM · $21.1M to $23.2MJan 12, 2026 to Feb 26, 2026
- Pension RAUM · $684M to $811MJan 12, 2026 to Feb 26, 2026
- RAUM · $2.4B to $2.7BJan 12, 2026 to Feb 26, 2026
- Advisory employees · 23 to 22Nov 20, 2025 to Jan 12, 2026
- Employees · 40 to 39Nov 20, 2025 to Jan 12, 2026
- State-registered IARs · 23 to 22Nov 20, 2025 to Jan 12, 2026
- Advisory employees · 18 to 23Aug 4, 2025 to Nov 20, 2025
- Employees · 41 to 40Aug 4, 2025 to Nov 20, 2025
- State-registered IARs · 18 to 23Aug 4, 2025 to Nov 20, 2025
- Accounts · 2,878 to 2,979Oct 8, 2024 to Mar 11, 2025
- Corporate clients · 26 to 42Oct 8, 2024 to Mar 11, 2025
- HNW clients · 445 to 457Oct 8, 2024 to Mar 11, 2025
- Individual clients · 150 to 185Oct 8, 2024 to Mar 11, 2025
- Pension plan clients · 51 to 54Oct 8, 2024 to Mar 11, 2025
- Employees · 44 to 41Oct 8, 2024 to Mar 11, 2025
- Financial planning clients · More than 500 to More than 500Oct 8, 2024 to Mar 11, 2025
- Discretionary RAUM · $2.1B to $2.4BOct 8, 2024 to Mar 11, 2025
- HNW RAUM · $1.4B to $1.4BOct 8, 2024 to Mar 11, 2025
- Individual RAUM · $50.2M to $176MOct 8, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $54.5M to $21.1MOct 8, 2024 to Mar 11, 2025
- Pension RAUM · $593M to $684MOct 8, 2024 to Mar 11, 2025
- RAUM · $2.1B to $2.4BOct 8, 2024 to Mar 11, 2025
- Advisory employees · 17 to 18Jul 11, 2024 to Oct 8, 2024
- Employees · 42 to 44Jul 11, 2024 to Oct 8, 2024
- State-registered IARs · 17 to 18Jul 11, 2024 to Oct 8, 2024
- Advisory employees · 16 to 17Mar 5, 2024 to Jul 3, 2024
- Employees · 41 to 42Mar 5, 2024 to Jul 3, 2024
- State-registered IARs · 16 to 17Mar 5, 2024 to Jul 3, 2024
- Accounts · 2,616 to 2,878Nov 9, 2023 to Mar 5, 2024
- Corporate clients · 18 to 26Nov 9, 2023 to Mar 5, 2024
- HNW clients · 429 to 445Nov 9, 2023 to Mar 5, 2024
Signals
5 dated events
- P••••• M•••••• V••••••• left R•• F•••••••• A••••••• I•• for V••••• F•••• I••••••••• C••••••••• I••• (registered 2026-04-12)Feb 24, 2026 · Advisor changed firm · fact
- J••••• Richard Busillo (Chairman) no longer on Schedule A of R•• F•••••••• A••••••• I•• (listed 2023-11-09, absent 2024-03-05)Mar 5, 2024 · Control person left · inference
- L••• E••••• P•••• left R•• F•••••••• A••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2023-11-24)Aug 18, 2023 · Advisor changed firm · fact
- John Gregory Young (Chief Investment Officer) appeared on Schedule A of R•• F•••••••• A••••••• I••Mar 31, 2021 · Control person joined · fact
- Frank John Hochschwender (Executive Vice President) no longer on Schedule A of R•• F•••••••• A••••••• I•• (listed 2018-03-29, absent 2019-03-30)Mar 30, 2019 · Control person left · inference
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
- 215-557-3800reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-557-3814reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-893-4725reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- RTDFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-557-3800reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- rtdfinancial.com/about/teamreportedpublished by the firm, firm site, Sep 16, 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026