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
W••••••••• I•••
Latest filing Jul 31, 2026
First filing on the tape Sep 19, 2024 · 13 filings
SEC status approved since Oct 18, 2024
RAUM
$137M
reported, Item 5.F
Discretionary
77%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$19.5M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$137M as of Jul 31, 2026
Oct 22, 2024$106M then
HNW client RAUM$85.9M as of Jul 31, 2026
Oct 22, 2024$63.1M then
State-registered IARs (5.B.3)7 as of Jul 31, 2026
Oct 22, 20246 then
Employees (5.A)7 as of Jul 31, 2026
Oct 22, 20246 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 6 to 7offices 3 to 4
Practice profile
derived from the filing of Jul 31, 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
- RAUM per advisor
- $19.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $976,088derivedHNW RAUM over HNW clients
- Average account
- $177,242derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 77%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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)
- 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$85.9M63%
- Individuals$50.7M37%
- Corporations and businesses$84,1620.1%
- Individual clients
- 282reported
- HNW clients
- 88reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 771reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• J••• S•••• | Mount Union, Pa | Oct 29, 2001 | 40 y | 1 |
| N••••• J••• C•••••• | Mount Union, Pa | Feb 26, 2002 | 25 y | 0 |
| B•••• J••• S•••• | Mount Union, Pa | Sep 29, 2006 | 23 y | 0 |
| C••••••••• J•• H••••••Certified Financial Planner | Mount Union, Pa | Sep 29, 2006 | 21 y | 0 |
| A•••••• J••••• B•••• | Mount Union, Pa | Nov 14, 2011 | 33 y | 2 |
| C••••••• A•• C••••••••• | Mount Union, Pa | Mar 20, 2018 | 10 y | 0 |
| E••••• C•••••• A••••••••• | Mount Union, Pa | Feb 12, 2026 | 10 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
- R••••• L•••• H•••••• to I•••••••• C•••••• A•••••••Mar 29, 2005 · Other
Joined, latest
- A•••••• J••••• B•••• from A••••••• P••••••••• A•••••••• I••Nov 14, 2011 · Other
- B•••• J••• S•••• from E•••••• P•••• A••••••• I•••Oct 29, 2001 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• J••• · President And Chief Compliance Officercontrolsince 07/1997 · owns 75% or more
- S••••• B••••• J••• · Vice Presidentcontrolsince 05/2005 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• A••••• F•••••••• C•••••••••real estaten
- N••••• C••••••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mount Union, Pa · principal | 7 | 1 | 0 | ||
| Summerfield, Fl | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hollidaysburg, PA4 employees
- State College, PA3 employees
- Camp Hill, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 738 to 771Apr 1, 2026 to Jun 10, 2026
- HNW clients · 234 to 88Apr 1, 2026 to Jun 10, 2026
- Individual clients · 499 to 282Apr 1, 2026 to Jun 10, 2026
- Discretionary RAUM · $98.1M to $105MApr 1, 2026 to Jun 10, 2026
- HNW RAUM · $81.7M to $85.9MApr 1, 2026 to Jun 10, 2026
- Individual RAUM · $44.0M to $50.7MApr 1, 2026 to Jun 10, 2026
- Non-discretionary RAUM · $27.7M to $31.3MApr 1, 2026 to Jun 10, 2026
- RAUM · $126M to $137MApr 1, 2026 to Jun 10, 2026
- Accounts · 685 to 738Oct 15, 2025 to Jan 29, 2026
- Advisory employees · 6 to 7Oct 15, 2025 to Jan 29, 2026
- HNW clients · 69 to 234Oct 15, 2025 to Jan 29, 2026
- Individual clients · 274 to 499Oct 15, 2025 to Jan 29, 2026
- Employees · 6 to 7Oct 15, 2025 to Jan 29, 2026
- State-registered IARs · 6 to 7Oct 15, 2025 to Jan 29, 2026
- Discretionary RAUM · $92.9M to $98.1MOct 15, 2025 to Jan 29, 2026
- HNW RAUM · $68.8M to $81.7MOct 15, 2025 to Jan 29, 2026
- Individual RAUM · $50.2M to $44.0MOct 15, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $26.2M to $27.7MOct 15, 2025 to Jan 29, 2026
- RAUM · $119M to $126MOct 15, 2025 to Jan 29, 2026
- Accounts · 646 to 685Apr 14, 2025 to Jul 23, 2025
- HNW clients · 187 to 69Apr 14, 2025 to Jul 23, 2025
- Individual clients · 454 to 274Apr 14, 2025 to Jul 23, 2025
- Financial planning clients · 11-25 to 11-25Apr 14, 2025 to Jul 23, 2025
- Other offices · 3 to 4Apr 14, 2025 to Jul 23, 2025
- Discretionary RAUM · $82.1M to $92.9MApr 14, 2025 to Jul 23, 2025
- HNW RAUM · $63.1M to $68.8MApr 14, 2025 to Jul 23, 2025
- Individual RAUM · $43.0M to $50.2MApr 14, 2025 to Jul 23, 2025
- Non-discretionary RAUM · $24.1M to $26.2MApr 14, 2025 to Jul 23, 2025
- RAUM · $106M to $119MApr 14, 2025 to Jul 23, 2025
- Accounts · 653 to 646Oct 1, 2024 to Oct 22, 2024
- HNW clients · 65 to 187Oct 1, 2024 to Oct 22, 2024
- Individual clients · 269 to 454Oct 1, 2024 to Oct 22, 2024
- Financial planning clients · 26-50 to 11-25Oct 1, 2024 to Oct 22, 2024
- Discretionary RAUM · $80.7M to $82.1MOct 1, 2024 to Oct 22, 2024
- HNW RAUM · $57.8M to $63.1MOct 1, 2024 to Oct 22, 2024
- Individual RAUM · $46.4M to $43.0MOct 1, 2024 to Oct 22, 2024
- Non-discretionary RAUM · $23.6M to $24.1MOct 1, 2024 to Oct 22, 2024
- RAUM · $104M to $106MOct 1, 2024 to Oct 22, 2024
Signals
1 dated events
- W••••••••• I••• filed its initial SEC registration (Form ADV)Sep 19, 2024 · First SEC registration · fact
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
- Website
- wealthkare.wufoo.com/forms/z1gpbpwx1adw5jdreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814-542-5433reportedpublic record, Form ADV, Jul 31, 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
- $19.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026