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.

Former SEC-registered adviser

First Commonwealth Financial Advisors, Inc.

Former SEC-registered adviserPittsburgh, PennsylvaniaCRD 111505SEC 801-60097IAPD
Latest filing Mar 26, 2014
First filing on the tape Dec 23, 2011 · 5 filings
RAUM
$216M
reported, Item 5.F
Discretionary
0.2%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$216M as of Mar 26, 2014
Mar 30, 2012$178M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 26, 2014
Mar 15, 20135 then
Employees (5.A)4 as of Mar 26, 2014
Mar 15, 20136 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of Mar 26, 2014; every figure names its basis
RAUM per advisor
$71.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.2%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
-40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
131reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Read Richard Applegate · President And Chief Executive Officer, Directorcontrol
    since 06/1996 · owns less than 5%
  • Michael Victor Dibattista · Ccocontrol
    since 07/2012 · owns less than 5%
  • Edward Mark Lopushansky · Directorcontrol
    since 01/2013 · owns less than 5%
  • A Cheryl Parzych · Directorcontrol
    since 04/2011 · owns less than 5%
  • E Robert Rout · Treasurercontrol
    since 04/2011 · owns less than 5%
  • C Matthew Tomb · Secretarycontrol
    since 04/2011 · owns less than 5%
Entity owners
  • First Commonwealth Financial Corporation · Owner
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
  • First Commonwealth Bank
    custodiann
  • First Commonwealth Insurance Agency
    real estaten
Offices
Schedule D 1.F, the 25 largest
  • Pittsburgh, PA
What changed
consecutive filings, newest first
  • Advisory employees · 5 to 3
    Jul 24, 2013 to Mar 26, 2014
  • BD registered reps · 6 to 3
    Jul 24, 2013 to Mar 26, 2014
  • Employees · 6 to 4
    Jul 24, 2013 to Mar 26, 2014
  • Insurance-licensed employees · 5 to 3
    Jul 24, 2013 to Mar 26, 2014
  • State-registered IARs · 5 to 3
    Jul 24, 2013 to Mar 26, 2014
  • Accounts · 159 to 131
    Mar 30, 2012 to Mar 15, 2013
  • Advisory employees · unset to 5.0
    Mar 30, 2012 to Mar 15, 2013
  • Advisory activities · 4 to 5
    Mar 30, 2012 to Mar 15, 2013
  • BD registered reps · unset to 6.0
    Mar 30, 2012 to Mar 15, 2013
  • Employees · unset to 6.0
    Mar 30, 2012 to Mar 15, 2013
  • Insurance-licensed employees · 0 to 5
    Mar 30, 2012 to Mar 15, 2013
  • State-registered IARs · unset to 5.0
    Mar 30, 2012 to Mar 15, 2013
  • Discretionary RAUM · $0 to $500,000
    Mar 30, 2012 to Mar 15, 2013
  • Non-discretionary RAUM · $178M to $215M
    Mar 30, 2012 to Mar 15, 2013
  • RAUM · $178M to $216M
    Mar 30, 2012 to Mar 15, 2013
  • Accounts · 170 to 159
    Dec 23, 2011 to Mar 30, 2012
  • Commission compensation · false to true
    Dec 23, 2011 to Mar 30, 2012
  • Financial planning clients · 11-25 to 1-10
    Dec 23, 2011 to Mar 30, 2012
  • Non-discretionary RAUM · $180M to $178M
    Dec 23, 2011 to Mar 30, 2012
  • RAUM · $180M to $178M
    Dec 23, 2011 to Mar 30, 2012
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.
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