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
A•••••••• W••••• C••••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Feb 3, 2012 · 45 filings
SEC status approved since Jun 25, 2001
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$1.1B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
30
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.6B as of Feb 23, 2026
Feb 3, 2012$338M then
HNW client RAUM$1.0B as of Feb 23, 2026
Mar 29, 2018$393M then
State-registered IARs (5.B.3)10 as of Feb 23, 2026
Feb 3, 20120 then
Employees (5.A)30 as of Feb 23, 2026
Mar 28, 201313 then
Private funds2 as of Feb 23, 2026
Mar 30, 20211 then
RAUM +20% over the last fiscal year+14% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $914,105derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.0B66%
- Pension and profit-sharing plans$297M19%
- Corporations and businesses$90.6M5.8%
- Pooled investment vehicles$77.6M5.0%
- Individuals$71.9M4.6%
- Individual clients
- 230reported
- HNW clients
- 209reported
- Pension plan clients
- 57reported
- Charitable clients
- n/areported
- Accounts
- 1,711reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.7 fund_share=0.05 institutional_share=0.19 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• F•••• D•••••• | State College, Pa | Sep 18, 2001 | 24 y | 0 |
| J•••• L•• F••••• | State College, Pa | Mar 15, 2012 | 20 y | 0 |
| J••• J•••• S••••••• | State College, Pa | Nov 12, 2014 | 13 y | 0 |
| M••••• A•••••• W••••Chartered Financial Analyst | Lemont, Pa | Jun 24, 2019 | 24 y | 2 |
| G••••••• P•••••• C•••• | State College, Pa | Jul 17, 2019 | 33 y | 2 |
| A•• L••••• M••••••• | State College, Pa | Nov 22, 2019 | 10 y | 0 |
| A•••• R• K••••••Certified Financial Planner | State College, Pa | Aug 24, 2020 | 10 y | 2 |
| D•••• W••• V•••••Chartered Financial Analyst | Lemont, Pa | Mar 29, 2021 | 17 y | 1 |
| S••• W••••• | State College, Pa | Jul 7, 2021 | 12 y | 0 |
| T•••• S••• C••• | State College, Pa | Jun 19, 2024 | 14 y | 0 |
| M•••••• M•••••• | State College, Pa | Dec 3, 2025 | 13 y | 0 |
| A•••• M•••••• H••• | State College, Pa | Feb 11, 2026 | 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 headcount1 left over 36 months
Left, latest
- L••••• G••• G••••••• to I••••••• A•••••••Mar 4, 2025 · RIA to RIA
- G••••••• P•••••• C•••• to C•••••• I••••••••• L••Jan 8, 2019 · RIA to RIA
- K•••• P•••• S•••• to V•••• C••••••• I•••Mar 25, 2005 · Other
Joined, latest
- A•••• R• K•••••• from T••••• S••••••••• S•••••••• I•••Aug 24, 2020 · RIA to RIA
- L••••• G••• G••••••• from P••••••• S•••••••• G••••• L••Mar 9, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••••• L•••••• G••• · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- O•••••• R••• · Chief Compliance Officersince 03/2025 · owns less than 5%
- D••••••• B••••• J••••• · Trusteesince 12/2021 · owns F of R•••••• D•••••• I••••••••• T••••
Entity owners
- R•••••• D•••••• I••••••••• T•••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••••••• E••••• P•••••••• L••y
- A•••••••• R••• M••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| State College, Pa · principal | 12 | 2 | 0 | ||
| Newtown, Pa | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Feb 23, 2026G•••••••• L•••••• G••• (CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2022-03-14 and 2026-02-23peers: independent wealth managers, $1B to $5B (1,362)
- custody status changedChange between filings · filing Feb 23, 2026custody of client assets (Item 9.A): yes on the filing of 2025-06-27, no on the filing of 2026-02-23peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,725 to 1,711Jun 27, 2025 to Feb 23, 2026
- Advisory employees · 11 to 12Jun 27, 2025 to Feb 23, 2026
- Corporate clients · 10 to 13Jun 27, 2025 to Feb 23, 2026
- HNW clients · 195 to 209Jun 27, 2025 to Feb 23, 2026
- Individual clients · 223 to 230Jun 27, 2025 to Feb 23, 2026
- Pension plan clients · 43 to 57Jun 27, 2025 to Feb 23, 2026
- Assets in custody · $75.9M to $77.6MJun 27, 2025 to Feb 23, 2026
- Custody of client assets · true to falseJun 27, 2025 to Feb 23, 2026
- Employees · 26 to 30Jun 27, 2025 to Feb 23, 2026
- State-registered IARs · 9 to 10Jun 27, 2025 to Feb 23, 2026
- Discretionary RAUM · $1.3B to $1.6BJun 27, 2025 to Feb 23, 2026
- HNW RAUM · $780M to $1.0BJun 27, 2025 to Feb 23, 2026
- Individual RAUM · $128M to $71.9MJun 27, 2025 to Feb 23, 2026
- Pension RAUM · $242M to $297MJun 27, 2025 to Feb 23, 2026
- Pooled vehicle RAUM · $75.9M to $77.6MJun 27, 2025 to Feb 23, 2026
- RAUM · $1.3B to $1.6BJun 27, 2025 to Feb 23, 2026
- Financial planning clients · 26-50 to 26-50Mar 12, 2025 to Jun 27, 2025
- Accounts · 1,638 to 1,725Apr 19, 2024 to Mar 4, 2025
- Advisory employees · 10 to 11Apr 19, 2024 to Mar 4, 2025
- Corporate clients · 2 to 10Apr 19, 2024 to Mar 4, 2025
- HNW clients · 185 to 195Apr 19, 2024 to Mar 4, 2025
- Individual clients · 222 to 223Apr 19, 2024 to Mar 4, 2025
- Pension plan clients · 45 to 43Apr 19, 2024 to Mar 4, 2025
- Assets in custody · $559M to $75.9MApr 19, 2024 to Mar 4, 2025
- Discretionary RAUM · $1.2B to $1.3BApr 19, 2024 to Mar 4, 2025
- HNW RAUM · $710M to $780MApr 19, 2024 to Mar 4, 2025
- Individual RAUM · $74.8M to $128MApr 19, 2024 to Mar 4, 2025
- Pension RAUM · $241M to $242MApr 19, 2024 to Mar 4, 2025
- Pooled vehicle RAUM · $73.2M to $75.9MApr 19, 2024 to Mar 4, 2025
- RAUM · $1.2B to $1.3BApr 19, 2024 to Mar 4, 2025
- Accounts · 1,476 to 1,638Jul 17, 2023 to Mar 6, 2024
- Advisory employees · 9 to 10Jul 17, 2023 to Mar 6, 2024
- Corporate clients · 4 to 2Jul 17, 2023 to Mar 6, 2024
- HNW clients · 171 to 185Jul 17, 2023 to Mar 6, 2024
- Individual clients · 231 to 222Jul 17, 2023 to Mar 6, 2024
- Pension plan clients · 58 to 45Jul 17, 2023 to Mar 6, 2024
- Assets in custody · $477M to $559MJul 17, 2023 to Mar 6, 2024
- Discretionary RAUM · $1.1B to $1.2BJul 17, 2023 to Mar 6, 2024
- HNW RAUM · $662M to $710MJul 17, 2023 to Mar 6, 2024
- Individual RAUM · $51.1M to $74.8MJul 17, 2023 to Mar 6, 2024
Signals
8 dated events
- L••••• G••• G••••••• left A•••••••• W••••• C••••••••• L•• for I••••••• A••••••• (registered 2025-10-30)Mar 4, 2025 · Advisor changed firm · fact
- Lee Jamie Felker (Chief Executive Officer) no longer on Schedule A of A•••••••• W••••• C••••••••• L•• (listed 2022-03-14, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- Lynn Cheryl Bartram (Chief Operating Officer) no longer on Schedule A of A•••••••• W••••• C••••••••• L•• (listed 2022-03-14, absent 2023-03-16)Mar 16, 2023 · Control person left · inference
- Frank Richard Defluri (Managing Member/Chief Investment Officer) no longer on Schedule A of A•••••••• W••••• C••••••••• L•• (listed 2021-11-17, absent 2022-02-28)Feb 28, 2022 · Control person left · inference
- A•••••••• W••••• C••••••••• L•• reported RAUM $936.1M, up 28% from $729.3M (2020-11-04 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- G••• L••••• G••••••• (Chief Compliance Officer) appeared on Schedule A of A•••••••• W••••• C••••••••• L••Oct 1, 2019 · Control person joined · fact
- James John Schaffer (Chief Compliance Officer) no longer on Schedule A of A•••••••• W••••• C••••••••• L•• (listed 2019-09-11, absent 2019-10-01)Oct 1, 2019 · Control person left · inference
- Patrick Geoffrey Caber (Chief Investment Officer) no longer on Schedule A of A•••••••• W••••• C••••••••• L•• (listed 2018-04-23, absent 2019-03-19)Mar 19, 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
- 800-253-3760reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/A••••••••-WEALTH-C•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814.861.3810reportedpublic record, Form ADV, Feb 23, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026