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
G••••• P•••••• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 29, 2012 · 33 filings
SEC status approved since Feb 1, 2002
RAUM
$734M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$734M as of Mar 30, 2026
Mar 29, 2012$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 30, 2026
Mar 29, 20120 then
Employees (5.A)15 as of Mar 30, 2026
Mar 26, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+16% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $132MreportedItem 5.I
- Custody
- $733M, 62 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$734M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 121reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $733M for 62 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W••••• G••••• | King Of Prussia, Pa | Apr 8, 2011 | 31 y | 1 |
| T•••••• S•••• C•••• | King Of Prussia, Pa | May 17, 2013 | 14 y | 0 |
| T••••• E•••• H••••••• | Souderton, Pa | Sep 15, 2016 | 35 y | 1 |
| A••••• D•••• L••• | Souderton, Pa | Feb 28, 2019 | 14 y | 0 |
| N••••••• F•••••• P•••• | Souderton, Pa | Sep 3, 2019 | 14 y | 0 |
| M•••••• J••••• L••• | King Of Prussia, Pa | Sep 28, 2023 | 21 y | 1 |
| W•••••• W•••••• S••••Chartered Financial Analyst | Allentown, Pa | Apr 10, 2024 | 29 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
- T•••••• V••••• S••••••• to G••••• A••••••• S•••••••• L••Aug 19, 2016 · Other
Joined, latest
- T•••••• V••••• S••••••• from U•••••• I••••••••• I•••Oct 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• T••••••• S•••• · Chief Investment Officercontrolsince 01/2019 · owns less than 5%
- G•••••• D••••• W••••• · Presidentcontrolsince 04/2020 · owns less than 5%
- H•••••••• T•••••• E•••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
Entity owners
- U•••••• B••• A•• T•••• C•• · Parent Companydirect · owns 75% or more
- U•••••• F•••••••• C••••••••• · B••• Holding Companyindirect · owns 75% or more of U•••••• B••• A•• T•••• C•• · public reporting company
Related persons
Schedule D 7.A
- G••••• A••••••• S•••••••• L••investment advisernRAUM $3.2B
- G••••• B••••••• G••••• L••real estaten
- U•••••• I••••••••• I•••broker-dealerreal estatenRAUM $15.5M
- U•••••• B••• A•• T•••• C••y
- U•••••• I••••••••• L••real estaten
Advisers that list G••••• P•••••• S•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Allentown, Pa · principal | 3 | 1 | 1 | ||
| King Of Prussia, Pa | 3 | 0 | 0 | ||
| Souderton, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- King Of Prussia, PA3 employees
- Souderton, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 118 to 121Mar 28, 2025 to Mar 30, 2026
- BD registered reps · 3 to 4Mar 28, 2025 to Mar 30, 2026
- Assets in custody · $632M to $733MMar 28, 2025 to Mar 30, 2026
- Employees · 16 to 15Mar 28, 2025 to Mar 30, 2026
- Insurance-licensed employees · 6 to 7Mar 28, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 8Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $632M to $734MMar 28, 2025 to Mar 30, 2026
- RAUM · $632M to $734MMar 28, 2025 to Mar 30, 2026
- Accounts · 117 to 118Jul 17, 2024 to Mar 28, 2025
- Advisory employees · 4 to 7Jul 17, 2024 to Mar 28, 2025
- BD registered reps · 5 to 3Jul 17, 2024 to Mar 28, 2025
- Assets in custody · $495M to $632MJul 17, 2024 to Mar 28, 2025
- Employees · 14 to 16Jul 17, 2024 to Mar 28, 2025
- Insurance-licensed employees · 7 to 6Jul 17, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jul 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $557M to $632MJul 17, 2024 to Mar 28, 2025
- RAUM · $557M to $632MJul 17, 2024 to Mar 28, 2025
- Assets in custody · unset to 495000000.0Mar 28, 2024 to Jul 17, 2024
- Custody of client assets · false to trueMar 28, 2024 to Jul 17, 2024
- Accounts · 130 to 117Jan 11, 2024 to Mar 28, 2024
- Advisory employees · 3 to 4Jan 11, 2024 to Mar 28, 2024
- Employees · 12 to 14Jan 11, 2024 to Mar 28, 2024
- Insurance-licensed employees · 5 to 7Jan 11, 2024 to Mar 28, 2024
- State-registered IARs · 5 to 7Jan 11, 2024 to Mar 28, 2024
- Discretionary RAUM · $467M to $557MJan 11, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $4.8M to $0Jan 11, 2024 to Mar 28, 2024
- RAUM · $471M to $557MJan 11, 2024 to Mar 28, 2024
- Other offices · 1 to 2Mar 27, 2023 to Jan 11, 2024
- Accounts · 129 to 130Aug 18, 2022 to Mar 27, 2023
- Advisory employees · 4 to 3Aug 18, 2022 to Mar 27, 2023
- Employees · 11 to 12Aug 18, 2022 to Mar 27, 2023
- Other offices · 2 to 1Aug 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $571M to $467MAug 18, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $5.8M to $4.8MAug 18, 2022 to Mar 27, 2023
- RAUM · $577M to $471MAug 18, 2022 to Mar 27, 2023
- Accounts · 128 to 129Apr 15, 2021 to Mar 30, 2022
- BD registered reps · 6 to 5Apr 15, 2021 to Mar 30, 2022
- Insurance-licensed employees · 4 to 5Apr 15, 2021 to Mar 30, 2022
- State-registered IARs · 6 to 5Apr 15, 2021 to Mar 30, 2022
- Discretionary RAUM · $508M to $571MApr 15, 2021 to Mar 30, 2022
Signals
7 dated events
- Bruce Kevin Freeston no longer registered at G••••• P•••••• S•••••••• L••; no later IA registration on IAPDJan 14, 2026 · Advisor departure · fact
- Elizabeth Karen Tejkl (Senior Vice President/Regulatory Risk Manager) no longer on Schedule A of G••••• P•••••• S•••••••• L•• (listed 2020-07-17, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Scott Timothy Chubb (Chief Investment Officer) appeared on Schedule A of G••••• P•••••• S•••••••• L••Mar 30, 2021 · Control person joined · fact
- Warren D•••• Geibel (President) appeared on Schedule A of G••••• P•••••• S•••••••• L••Jul 17, 2020 · Control person joined · fact
- Brian Kevin Norris (President) no longer on Schedule A of G••••• P•••••• S•••••••• L•• (listed 2020-03-31, absent 2020-07-17)Jul 17, 2020 · Control person left · inference
- T•• I••••••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 17, 2019 · Succession (Item 4) · fact
- Marie Lisa Colon (Chief Compliance Officer) no longer on Schedule A of G••••• P•••••• S•••••••• L•• (listed 2018-03-28, absent 2019-01-17)Jan 17, 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
- Principal office phone
- 610-821-1331reportedpublic record, Form ADV, Mar 30, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026