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
N•••••••• F•••••••• C••••••••• I•••
Latest filing Mar 24, 2026
First filing on the tape Mar 14, 2019 · 18 filings
SEC status approved since Apr 12, 2019
RAUM
$519M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$516M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$57.7M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$519M as of Mar 24, 2026
Feb 26, 2020$147M then
HNW client RAUM$363M as of Mar 24, 2026
Feb 26, 2020$113M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Feb 26, 20202 then
Employees (5.A)10 as of Mar 24, 2026
Feb 26, 20202 then
Private funds: no history
RAUM +17% over the last fiscal year+35% a year over threeIARs 6 to 5
Practice profile
derived from the filing of Mar 24, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $57.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $387,892derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $276MreportedItem 5.I
- Custody
- $38.0M, 37 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)
- compensates non-employees for client referrals (8.G.2)
- 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$363M70%
- Individuals$153M29%
- Pension and profit-sharing plans$3.0M0.6%
- Individual clients
- 394reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,338reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $38.0M for 37 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| S••••• B•••• G••••• | Conshohocken, Pa | Jan 28, 2003 | 33 y | 5 |
| J•••• M•••• R•••••• | Conshohocken, Pa | Jun 4, 2008 | 20 y | 3 |
| T••••• T••••• | Conshohocken, Pa | Jan 8, 2021 | 12 y | 0 |
| G•••• B• K••• | Conshohocken, Pa | Apr 16, 2024 | 12 y | 1 |
| L•••• T• N•••••••Certified Financial Planner | Mattapoisett, Ma | Jul 17, 2024 | 29 y | 1 |
| G•••• A••••• W••••••• | Ocean City, Nj | Dec 5, 2025 | 28 y | 1 |
| B•••• W•••••• R•••••• | Conshohocken, Pa | Mar 17, 2026 | 33 y | 3 |
| A•••••••• R• B•••••• | Golden, Co | Mar 30, 2026 | 18 y | 4 |
| J••••• G••••••••• | Conshohocken, Pa | Aug 14, 2026 | 13 y | 0 |
Advisor movement
0 left, 3 joined in 12 months
net +3 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M•••••• J••• G•••• to C••••••••• F•••••••• N••••••Mar 5, 2007 · RIA to affiliated broker-dealer or bank
Joined, latest
- A•••••••• R• B•••••• from L••••••• W••••• M•••••••••Mar 30, 2026 · RIA to RIA
- B•••• W•••••• R•••••• from C••••••• A•••• M••••••••• L•••••Mar 17, 2026 · Other
- G•••• A••••• W••••••• from A• H• W••••••• • C••••••• I•••Dec 5, 2025 · Other
- L•••• T• N••••••• from S•••••• F•••••••• S•••••••• I•••Jul 17, 2024 · Other
- J•••• M•••• R•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Jun 4, 2008 · Other
- S••••• B•••• G••••• from C••••••••• F•••••••• N••••••Jan 28, 2003 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• S•••••• B•••• · President Of N•••••••• Financial Cos. Inc.controlsince 03/2003 · owns 75% or more
- R••••••• J••••• M•••• · Chief Compliance Officercontrolsince 06/2014 · owns less than 5%
- W•••••••• G••••• A••••• · President Of Ah W••••••• & Co. Inc.since 05/2021 · owns 10% to 25%
Related persons
Schedule D 7.A
- A• H• W••••••• • C••••••• I•••investment advisery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Conshohocken, Pa · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Golden, CO1 employees
- Mattapoisett, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 24, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-13, yes on the filing of 2026-03-24peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,303 to 1,338Mar 13, 2025 to Mar 24, 2026
- Advisory employees · 6 to 5Mar 13, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Mar 13, 2025 to Mar 24, 2026
- HNW clients · 103 to 113Mar 13, 2025 to Mar 24, 2026
- Individual clients · 421 to 394Mar 13, 2025 to Mar 24, 2026
- Assets in custody · $21.0M to $38.0MMar 13, 2025 to Mar 24, 2026
- Employees · 11 to 10Mar 13, 2025 to Mar 24, 2026
- State-registered IARs · 6 to 5Mar 13, 2025 to Mar 24, 2026
- Discretionary RAUM · $443M to $494MMar 13, 2025 to Mar 24, 2026
- HNW RAUM · $304M to $363MMar 13, 2025 to Mar 24, 2026
- Individual RAUM · $139M to $153MMar 13, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $211,000 to $25.0MMar 13, 2025 to Mar 24, 2026
- Pension RAUM · unset to 3000000.0Mar 13, 2025 to Mar 24, 2026
- RAUM · $443M to $519MMar 13, 2025 to Mar 24, 2026
- Accounts · 984 to 1,303Oct 2, 2024 to Mar 13, 2025
- Advisory employees · 4 to 6Oct 2, 2024 to Mar 13, 2025
- HNW clients · 70 to 103Oct 2, 2024 to Mar 13, 2025
- Individual clients · 318 to 421Oct 2, 2024 to Mar 13, 2025
- Assets in custody · $14.0M to $21.0MOct 2, 2024 to Mar 13, 2025
- Employees · 4 to 11Oct 2, 2024 to Mar 13, 2025
- Financial planning clients · 251-500 to 251-500Oct 2, 2024 to Mar 13, 2025
- State-registered IARs · 4 to 6Oct 2, 2024 to Mar 13, 2025
- Discretionary RAUM · $281M to $443MOct 2, 2024 to Mar 13, 2025
- HNW RAUM · $194M to $304MOct 2, 2024 to Mar 13, 2025
- Individual RAUM · $90.6M to $139MOct 2, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $3.7M to $211,000Oct 2, 2024 to Mar 13, 2025
- RAUM · $285M to $443MOct 2, 2024 to Mar 13, 2025
- Other offices · 1 to 2Jun 13, 2024 to Oct 2, 2024
- Assets in custody · unset to 14000000.0Mar 5, 2024 to Jun 13, 2024
- Custody of client assets · false to trueMar 5, 2024 to Jun 13, 2024
- Accounts · 811 to 984Mar 24, 2023 to Mar 5, 2024
- Corporate clients · 1.0 to unsetMar 24, 2023 to Mar 5, 2024
- HNW clients · 41 to 70Mar 24, 2023 to Mar 5, 2024
- Individual clients · 279 to 318Mar 24, 2023 to Mar 5, 2024
- Employees · 9 to 4Mar 24, 2023 to Mar 5, 2024
- Insurance-licensed employees · 1 to 0Mar 24, 2023 to Mar 5, 2024
- Discretionary RAUM · $204M to $281MMar 24, 2023 to Mar 5, 2024
- HNW RAUM · $105M to $194MMar 24, 2023 to Mar 5, 2024
- Individual RAUM · $106M to $90.6MMar 24, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $6.9M to $3.7MMar 24, 2023 to Mar 5, 2024
Signals
3 dated events
- N•••••••• F•••••••• C••••••••• I••• reported RAUM $443.3M, up 56% from $284.6M (2024-10-02 to 2025-03-13)Mar 13, 2025 · RAUM change · derived
- Alfred Glenn Williams (President Of Ah Williams & Co. Inc.) appeared on Schedule A of N•••••••• F•••••••• C••••••••• I•••Jun 3, 2021 · Control person joined · fact
- N•••••••• F•••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Mar 14, 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
- 610-629-6100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-629-6106reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-629-6100reportedpublic record, Form ADV, Mar 24, 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
- $57.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026