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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Former SEC-registered adviser

R••• A••••••• G••••• I•••

Former SEC-registered adviserHarrisburg, PennsylvaniaCRD 117969SEC 801-62995IAPD
Latest filing Mar 27, 2019
First filing on the tape Mar 30, 2012 · 10 filings
RAUM
$476M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
95%
$451M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$476M as of Mar 27, 2019
Mar 30, 2012$226M then
HNW client RAUM$399M as of Mar 27, 2019
Mar 28, 2018$399M then
State-registered IARs (5.B.3)7 as of Mar 27, 2019
Mar 30, 20120 then
Employees (5.A)9 as of Mar 27, 2019
Mar 26, 20136 then
Private funds: no history
RAUM +1.1% over the last fiscal year+5.8% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 27, 2019; every figure names its basis
RAUM per advisor
$68.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$2.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
5.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.1%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.5%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$84.0M, 94 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$399M84%
  • Individuals$52.2M11%
  • Charitable organizations$10.3M2.2%
  • State and municipal entities$9.2M1.9%
  • Pension and profit-sharing plans$5.8M1.2%
Individual clients
74reported
HNW clients
158reported
Pension plan clients
2reported
Charitable clients
4reported
Accounts
239reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$84.0M for 94 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••• J••••••• E••••• · Presidentcontrol
        since 01/1998 · owns 75% or more
      • R•••• K••••• S•••• · Chief Compliance Officer
        since 04/2004 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 227 to 239
        Mar 28, 2018 to Mar 27, 2019
      • HNW clients · 162 to 158
        Mar 28, 2018 to Mar 27, 2019
      • Individual clients · 58 to 74
        Mar 28, 2018 to Mar 27, 2019
      • Assets in custody · $79.9M to $84.0M
        Mar 28, 2018 to Mar 27, 2019
      • Employees · 8 to 9
        Mar 28, 2018 to Mar 27, 2019
      • Financial planning clients · 11-25 to 1-10
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $433M to $444M
        Mar 28, 2018 to Mar 27, 2019
      • HNW RAUM · $399M to $399M
        Mar 28, 2018 to Mar 27, 2019
      • Individual RAUM · $46.5M to $52.2M
        Mar 28, 2018 to Mar 27, 2019
      • Non-discretionary RAUM · $38.0M to $32.1M
        Mar 28, 2018 to Mar 27, 2019
      • Pension RAUM · $6.2M to $5.8M
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $471M to $476M
        Mar 28, 2018 to Mar 27, 2019
      • Accounts · 208 to 227
        Mar 30, 2017 to Mar 28, 2018
      • Charity clients · unset to 4.0
        Mar 30, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • HNW clients · unset to 162.0
        Mar 30, 2017 to Mar 28, 2018
      • Individual clients · unset to 58.0
        Mar 30, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · unset to 79902268.0
        Mar 30, 2017 to Mar 28, 2018
      • Custody of client assets · false to true
        Mar 30, 2017 to Mar 28, 2018
      • Financial planning clients · 1-10 to 11-25
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $393M to $433M
        Mar 30, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 398944995.0
        Mar 30, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 46540020.0
        Mar 30, 2017 to Mar 28, 2018
      • Non-discretionary RAUM · $32.7M to $38.0M
        Mar 30, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 6247743.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $426M to $471M
        Mar 30, 2017 to Mar 28, 2018
      • Accounts · 210 to 208
        May 11, 2016 to Mar 30, 2017
      • Discretionary RAUM · $381M to $393M
        May 11, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $20.9M to $32.7M
        May 11, 2016 to Mar 30, 2017
      • RAUM · $402M to $426M
        May 11, 2016 to Mar 30, 2017
      • Accounts · 202 to 210
        Apr 1, 2015 to Mar 30, 2016
      • Advisory employees · 3 to 4
        Apr 1, 2015 to Mar 30, 2016
      • Employees · 7 to 8
        Apr 1, 2015 to Mar 30, 2016
      • Financial planning clients · 11-25 to 1-10
        Apr 1, 2015 to Mar 30, 2016
      • State-registered IARs · 6 to 7
        Apr 1, 2015 to Mar 30, 2016
      • Discretionary RAUM · $386M to $381M
        Apr 1, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $1.9M to $20.9M
        Apr 1, 2015 to Mar 30, 2016
      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.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026