DFX Intelligence

RIA Intelligence

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SEC-registered adviser

A•••• • H•••• I•••••••••

Independent wealth managerWayne, PennsylvaniaCRD 117495SEC 801-118276website IAPD

Latest filing Apr 8, 2026

First filing on the tape Feb 20, 2020 · 20 filings

SEC status approved since Mar 19, 2020

RAUM

$254M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$253M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.5M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$254M as of Apr 8, 2026

Mar 2, 2021$111M then

HNW client RAUM$206M as of Apr 8, 2026

Mar 2, 2021$70.3M then

State-registered IARs (5.B.3)3 as of Apr 8, 2026

Mar 2, 20214 then

Employees (5.A)6 as of Apr 8, 2026

Mar 2, 20215 then

Private funds: no history

RAUM +16% over the last fiscal year+27% a year over threeIARs 4 to 3

Practice profile

derived from the filing of Apr 8, 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
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

RAUM per advisor: $63.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 40derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $616,404derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: -25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$206M81%
Individuals$46.5M18%
Corporations and businesses$966,2590.4%

Individual clients: 86reported
HNW clients: 73reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 412reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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
K••• R•••••• A••••	Wayne, Pa	May 19, 2000	36 y
J••••• J• H•••	Wayne, Pa	May 25, 2001	26 y
K•••• F• B••••••	Wayne, Pa	May 26, 2016	20 y
F•••• M•••••• R•••	Wayne, Pa	Jul 31, 2026	11 y

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A••••• K•••• R•••••• · Presidentcontrol
since 02/2000 · owns 50% to 75%
H•••• J•••••• J• · Vice President, Secy., Treas., Chief Compliance Officercontrol
since 02/2000 · owns 25% to 50%

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
Wayne, Pa · principal	4	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 416 to 412
May 21, 2025 to Feb 20, 2026
Advisory employees · 4 to 3
May 21, 2025 to Feb 20, 2026
HNW clients · 61 to 73
May 21, 2025 to Feb 20, 2026
Individual clients · 98 to 86
May 21, 2025 to Feb 20, 2026
State-registered IARs · 4 to 3
May 21, 2025 to Feb 20, 2026
Discretionary RAUM · $219M to $254M
May 21, 2025 to Feb 20, 2026
HNW RAUM · $170M to $206M
May 21, 2025 to Feb 20, 2026
Individual RAUM · $49.3M to $46.5M
May 21, 2025 to Feb 20, 2026
RAUM · $219M to $254M
May 21, 2025 to Feb 20, 2026
Financial planning clients · 51-100 to 51-100
Feb 28, 2025 to May 21, 2025
Accounts · 355 to 416
Aug 7, 2024 to Feb 28, 2025
HNW clients · 43 to 61
Aug 7, 2024 to Feb 28, 2025
Individual clients · 91 to 98
Aug 7, 2024 to Feb 28, 2025
Employees · 5 to 6
Aug 7, 2024 to Feb 28, 2025
Discretionary RAUM · $147M to $219M
Aug 7, 2024 to Feb 28, 2025
HNW RAUM · $106M to $170M
Aug 7, 2024 to Feb 28, 2025
Individual RAUM · $41.3M to $49.3M
Aug 7, 2024 to Feb 28, 2025
RAUM · $147M to $219M
Aug 7, 2024 to Feb 28, 2025
Accounts · 361 to 355
Apr 25, 2023 to Jan 31, 2024
HNW clients · 40 to 43
Apr 25, 2023 to Jan 31, 2024
Individual clients · 98 to 91
Apr 25, 2023 to Jan 31, 2024
Discretionary RAUM · $125M to $147M
Apr 25, 2023 to Jan 31, 2024
HNW RAUM · $85.3M to $106M
Apr 25, 2023 to Jan 31, 2024
Individual RAUM · $39.4M to $41.3M
Apr 25, 2023 to Jan 31, 2024
RAUM · $125M to $147M
Apr 25, 2023 to Jan 31, 2024
Accounts · 355 to 361
Jul 27, 2022 to Jan 23, 2023
HNW clients · 48 to 40
Jul 27, 2022 to Jan 23, 2023
Individual clients · 95 to 98
Jul 27, 2022 to Jan 23, 2023
Discretionary RAUM · $143M to $125M
Jul 27, 2022 to Jan 23, 2023
HNW RAUM · $104M to $85.3M
Jul 27, 2022 to Jan 23, 2023
Individual RAUM · $39.2M to $39.4M
Jul 27, 2022 to Jan 23, 2023
RAUM · $143M to $125M
Jul 27, 2022 to Jan 23, 2023
HNW clients · 34 to 48
Apr 28, 2021 to Mar 7, 2022
Individual clients · 99 to 95
Apr 28, 2021 to Mar 7, 2022
Financial planning clients · 101-250 to 51-100
Apr 28, 2021 to Mar 7, 2022
Discretionary RAUM · $111M to $143M
Apr 28, 2021 to Mar 7, 2022
HNW RAUM · $70.3M to $104M
Apr 28, 2021 to Mar 7, 2022
Individual RAUM · $41.1M to $39.2M
Apr 28, 2021 to Mar 7, 2022
RAUM · $111M to $143M
Apr 28, 2021 to Mar 7, 2022
Accounts · 348 to 355
Jun 24, 2020 to Mar 2, 2021

Signals

1 dated events

A•••• • H•••• I••••••••• filed its initial SEC registration (Form ADV)
Feb 20, 2020 · 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

Business email: a••••••••@a••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 610-688-9500reportedpublished by the firm, firm site, Sep 15, 2026
Website: A••••H•••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 610-688-9500reportedpublic record, Form ADV, Apr 8, 2026
Contact form: a••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $63.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026