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.
SEC-registered adviser
Chartered Advisory Group
Legal name Chartered Advisory Group, Inc.
Latest filing Mar 23, 2026
First filing on the tape Mar 14, 2012 · 25 filings
SEC status approved since Jun 22, 2011
RAUM
$128M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$31.9M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$128M as of Mar 23, 2026
Mar 14, 2012$101M then
HNW client RAUM$29.8M as of Mar 23, 2026
Feb 13, 2018$12.8M then
State-registered IARs (5.B.3)4 as of Mar 23, 2026
Mar 14, 20120 then
Employees (5.A)6 as of Mar 23, 2026
Mar 22, 20138 then
Private funds: no history
RAUM +5.7% over the last fiscal year-2.4% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $31.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $167,823derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.4%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminars, 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$97.9M77%
- High-net-worth individuals$29.8M23%
- Individual clients
- 263reported
- HNW clients
- 20reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 761reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Henry KantnerChartered Financial Consultant | Chadds Ford, Pa | Feb 11, 1999 | 43 y | 0 |
| Robert Joseph Pedrick | Chadds Ford, Pa | Dec 21, 2005 | 21 y | 0 |
| Sean Patrick Smith | Chadds Ford, Pa | Jan 4, 2011 | 15 y | 0 |
| Angela M Bean | Chadds Ford, Pa | Jun 14, 2011 | 19 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
- Michael Alan Rothfuss to Esi Financial AdvisorsOct 5, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Henry William Kantner · President / Chief Compliance Officercontrolsince 01/2001 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Chadds Ford, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Harrisburg, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 728 to 761Mar 6, 2025 to Mar 23, 2026
- HNW clients · 15 to 20Mar 6, 2025 to Mar 23, 2026
- Individual clients · 246 to 263Mar 6, 2025 to Mar 23, 2026
- Discretionary RAUM · $34.6M to $49.7MMar 6, 2025 to Mar 23, 2026
- HNW RAUM · $22.8M to $29.8MMar 6, 2025 to Mar 23, 2026
- Individual RAUM · $97.9M to $97.9MMar 6, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $86.2M to $78.0MMar 6, 2025 to Mar 23, 2026
- RAUM · $121M to $128MMar 6, 2025 to Mar 23, 2026
- Accounts · 723 to 728Mar 15, 2024 to Mar 6, 2025
- HNW clients · 10 to 15Mar 15, 2024 to Mar 6, 2025
- Individual clients · 286 to 246Mar 15, 2024 to Mar 6, 2025
- Financial planning clients · 101-250 to 101-250Mar 15, 2024 to Mar 6, 2025
- Discretionary RAUM · $28.9M to $34.6MMar 15, 2024 to Mar 6, 2025
- HNW RAUM · $15.4M to $22.8MMar 15, 2024 to Mar 6, 2025
- Individual RAUM · $104M to $97.9MMar 15, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $90.6M to $86.2MMar 15, 2024 to Mar 6, 2025
- RAUM · $119M to $121MMar 15, 2024 to Mar 6, 2025
- Accounts · 951 to 723Nov 10, 2023 to Mar 15, 2024
- HNW clients · 19 to 10Nov 10, 2023 to Mar 15, 2024
- Individual clients · 297 to 286Nov 10, 2023 to Mar 15, 2024
- Financial planning clients · 251-500 to 101-250Nov 10, 2023 to Mar 15, 2024
- Discretionary RAUM · $28.0M to $28.9MNov 10, 2023 to Mar 15, 2024
- HNW RAUM · $25.1M to $15.4MNov 10, 2023 to Mar 15, 2024
- Individual RAUM · $112M to $104MNov 10, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $109M to $90.6MNov 10, 2023 to Mar 15, 2024
- RAUM · $137M to $119MNov 10, 2023 to Mar 15, 2024
- Advisory activities · 3 to 4Aug 7, 2023 to Nov 10, 2023
- BD registered reps · 4 to 0Aug 7, 2023 to Nov 10, 2023
- Wrap assets (manager) · 31731817.0 to unsetAug 7, 2023 to Nov 10, 2023
- Wrap assets (sponsor) · 0.0 to unsetAug 7, 2023 to Nov 10, 2023
- Accounts · 962 to 951Nov 3, 2022 to Mar 13, 2023
- HNW clients · 24 to 19Nov 3, 2022 to Mar 13, 2023
- Individual clients · 304 to 297Nov 3, 2022 to Mar 13, 2023
- Discretionary RAUM · $31.7M to $28.0MNov 3, 2022 to Mar 13, 2023
- HNW RAUM · $24.9M to $25.1MNov 3, 2022 to Mar 13, 2023
- Individual RAUM · $131M to $112MNov 3, 2022 to Mar 13, 2023
- Non-discretionary RAUM · $124M to $109MNov 3, 2022 to Mar 13, 2023
- RAUM · $156M to $137MNov 3, 2022 to Mar 13, 2023
- Accounts · 1,022 to 962Mar 18, 2021 to Mar 9, 2022
- Advisory employees · 5 to 4Mar 18, 2021 to Mar 9, 2022
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.
How to reach
public business contact points only, each with its source
- Business email
- info@cagwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-459-8171reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-461-5603reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- CAGWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-459-8872reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- CAGWEALTH.COM/team.htmlreportedpublished 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
- $31.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026