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
M•••• A•••••••• I•••
Latest filing May 27, 2026
First filing on the tape Mar 6, 2012 · 27 filings
SEC status approved since Oct 7, 2019
RAUM
$371M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$357M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$41.2M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$371M as of May 27, 2026
Mar 6, 2012$49.9M then
HNW client RAUM$206M as of May 27, 2026
Feb 19, 2020$34.4M then
State-registered IARs (5.B.3)9 as of May 27, 2026
Mar 6, 20120 then
Employees (5.A)9 as of May 27, 2026
Feb 19, 20208 then
Private funds: no history
RAUM +46% over the last fiscal year+30% a year over threeIARs 9 to 9offices 2 to 1
Practice profile
derived from the filing of May 27, 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
- $41.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $224,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $210M, 745 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
- 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)
- 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$206M55%
- Individuals$152M41%
- Pension and profit-sharing plans$10.8M2.9%
- Charitable organizations$1.9M0.5%
- Corporations and businesses$1.1M0.3%
- Individual clients
- 603reported
- HNW clients
- 66reported
- Pension plan clients
- 5reported
- Charitable clients
- 3reported
- Accounts
- 1,649reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $210M for 745 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••••• J•• D•••• | York, Pa | Apr 12, 2002 | 24 y | 0 |
| J•• M•••••• D••••Certified Financial Planner | York, Pa | Nov 12, 2002 | 37 y | 0 |
| H••••• A••••• D•••••Chartered Financial Consultant | Little River, Sc | Nov 29, 2006 | 39 y | 0 |
| D•••• H•••• P•••• | York, Pa | May 29, 2007 | 20 y | 0 |
| M••••• J•• D••••Certified Financial Planner | York, Pa | Dec 24, 2015 | 10 y | 0 |
| S•••••• R•••• S••••Certified Financial Planner | York, Pa | Feb 13, 2017 | 30 y | 1 |
| M•••• J•• D••••Certified Financial Planner | York, Pa | May 7, 2019 | 16 y | 0 |
| W••• C••••••Chartered Financial Consultant | York, Pa | Mar 27, 2024 | 31 y | 2 |
| K••• M••• M••••• | Farmington, Ct | Apr 23, 2024 | 13 y | 2 |
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
- K••• M••• M••••• from I••••••••• F•••••••• A•••••••Apr 23, 2024 · RIA to RIA
- W••• C•••••• from M•• I•••••••• S•••••••• L••Mar 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••••• R•••• S•••• from M•• F•••••••• S•••••••• I•••Feb 13, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• J••• M•••••• · President/Chief Compliance Officercontrolsince 02/2003 · owns 25% to 50%
- D••••• D•••••••• J•• · Secretarysince 02/2003 · owns less than 5%
- D••••• M•••• · Shareholdersince 01/2023 · owns 10% to 25%
- D••••• M••••• · Shareholdersince 01/2023 · owns 10% to 25%
- P••••• D••••• H•••• · Shareholdersince 01/2023 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| York, Pa · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hazleton, PA1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $253,321,993 to $370,874,878 (+46.0%) between the annual amendments of 2025-03-09 and 2026-03-27; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
- HNW share shiftChange between filings · filing Mar 27, 2026HNW share of RAUM moved from 38.0% to 55.0% between the annual amendments of 2025-03-09 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,567 to 1,649Nov 20, 2025 to Mar 27, 2026
- Charity clients · 2 to 3Nov 20, 2025 to Mar 27, 2026
- HNW clients · 53 to 66Nov 20, 2025 to Mar 27, 2026
- Individual clients · 572 to 603Nov 20, 2025 to Mar 27, 2026
- Assets in custody · $110M to $210MNov 20, 2025 to Mar 27, 2026
- Financial planning clients · 51-100 to 26-50Nov 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $244M to $361MNov 20, 2025 to Mar 27, 2026
- HNW RAUM · $95.5M to $206MNov 20, 2025 to Mar 27, 2026
- Individual RAUM · $143M to $152MNov 20, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $9.4M to $10.2MNov 20, 2025 to Mar 27, 2026
- Pension RAUM · $8.7M to $10.8MNov 20, 2025 to Mar 27, 2026
- RAUM · $253M to $371MNov 20, 2025 to Mar 27, 2026
- Advisory activities · 3 to 4May 5, 2025 to Nov 20, 2025
- Other offices · 2 to 1May 5, 2025 to Nov 20, 2025
- Financial planning clients · 51-100 to 51-100Mar 9, 2025 to May 5, 2025
- Accounts · 1,425 to 1,567Apr 11, 2024 to Feb 27, 2025
- Advisory employees · 7 to 8Apr 11, 2024 to Feb 27, 2025
- Charity clients · 1 to 2Apr 11, 2024 to Feb 27, 2025
- Corporate clients · 2 to 6Apr 11, 2024 to Feb 27, 2025
- HNW clients · 31 to 53Apr 11, 2024 to Feb 27, 2025
- Individual clients · 523 to 572Apr 11, 2024 to Feb 27, 2025
- Pension plan clients · 4 to 5Apr 11, 2024 to Feb 27, 2025
- Assets in custody · $42.9M to $110MApr 11, 2024 to Feb 27, 2025
- Employees · 7 to 9Apr 11, 2024 to Feb 27, 2025
- Financial planning clients · 11-25 to 51-100Apr 11, 2024 to Feb 27, 2025
- State-registered IARs · 7 to 9Apr 11, 2024 to Feb 27, 2025
- Discretionary RAUM · $201M to $244MApr 11, 2024 to Feb 27, 2025
- HNW RAUM · $71.4M to $95.5MApr 11, 2024 to Feb 27, 2025
- Individual RAUM · $130M to $143MApr 11, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $7.6M to $9.4MApr 11, 2024 to Feb 27, 2025
- Pension RAUM · $6.9M to $8.7MApr 11, 2024 to Feb 27, 2025
- RAUM · $209M to $253MApr 11, 2024 to Feb 27, 2025
- Accounts · 1,372 to 1,425May 11, 2023 to Feb 12, 2024
- Advisory employees · 6 to 7May 11, 2023 to Feb 12, 2024
- Corporate clients · 1 to 2May 11, 2023 to Feb 12, 2024
- Individual clients · 511 to 523May 11, 2023 to Feb 12, 2024
- Assets in custody · $30.2M to $42.9MMay 11, 2023 to Feb 12, 2024
- Discretionary RAUM · $161M to $201MMay 11, 2023 to Feb 12, 2024
- HNW RAUM · $50.4M to $71.4MMay 11, 2023 to Feb 12, 2024
- Individual RAUM · $112M to $130MMay 11, 2023 to Feb 12, 2024
Signals
3 dated events
- M•••• A•••••••• I••• reported RAUM $370.9M, up 46% from $253.3M (2025-11-20 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Jay Darshana Desai (Secretary) no longer on Schedule A of M•••• A•••••••• I••• (listed 2022-02-17, absent 2023-02-01)Feb 1, 2023 · Control person left · inference
- M•••• A•••••••• I••• filed its initial SEC registration (Form ADV)Sep 5, 2019 · 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 phone
- 717-764-4566reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 717-767-5663reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 877-622-7623reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M••••ADV.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-764-4566reportedpublic record, Form ADV, May 27, 2026
- Contact form
- m•••••••.comreportedpublished 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
- $41.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026