DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••••• S•••••••• A•••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Jun 27, 2025 · 4 filings
SEC status approved since Jul 28, 2025
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$172M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$183M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$183M as of Mar 24, 2026
Jun 27, 2025$130M then
HNW client RAUM$142M as of Mar 24, 2026
Jun 27, 2025$92.4M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Jun 27, 20251 then
Employees (5.A)2 as of Mar 24, 2026
Jun 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $183MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 195derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $304,570derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $118M, 109 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.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$142M78%
- Individuals$30.0M16%
- Charitable organizations$10.1M5.5%
- Corporations and businesses$253,4700.1%
- Pension and profit-sharing plans$218,3610.1%
- Individual clients
- 120reported
- HNW clients
- 75reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 600reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $118M for 109 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• E•••••• T••••••Chartered Financial Analyst | Pittsburgh, Pa | Aug 16, 1999 | 28 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Sep 10, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-24, yes on the filing of 2026-09-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Assets in custody · unset to 117585029.0Mar 24, 2026 to Sep 10, 2026
- Custody of client assets · false to trueMar 24, 2026 to Sep 10, 2026
- Financial planning clients · 0 to 0Mar 24, 2026 to Sep 10, 2026
- Related adviser · false to unsetMar 24, 2026 to Sep 10, 2026
- Related bank · false to unsetMar 24, 2026 to Sep 10, 2026
- Related broker-dealer · false to unsetMar 24, 2026 to Sep 10, 2026
- Related insurance company · false to unsetMar 24, 2026 to Sep 10, 2026
- Succession · false to unsetMar 24, 2026 to Sep 10, 2026
- Accounts · 540 to 600Aug 27, 2025 to Mar 24, 2026
- Charity clients · 5 to 10Aug 27, 2025 to Mar 24, 2026
- HNW clients · 65 to 75Aug 27, 2025 to Mar 24, 2026
- Individual clients · 112 to 120Aug 27, 2025 to Mar 24, 2026
- Financial planning clients · 101-250 to 0Aug 27, 2025 to Mar 24, 2026
- Discretionary RAUM · $130M to $183MAug 27, 2025 to Mar 24, 2026
- HNW RAUM · $92.4M to $142MAug 27, 2025 to Mar 24, 2026
- Individual RAUM · $25.9M to $30.0MAug 27, 2025 to Mar 24, 2026
- Pension RAUM · unset to 218361.0Aug 27, 2025 to Mar 24, 2026
- RAUM · $130M to $183MAug 27, 2025 to Mar 24, 2026
- Other offices · 1 to 0Jun 27, 2025 to Aug 27, 2025
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 phone
- 412-781-1929reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 740-282-5198reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- MS••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 740-282-5198reportedpublic record, Form ADV, Sep 10, 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
- $183Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026