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
A••••••• F•••••••• M••••••••• G••••• L•••
Latest filing Aug 29, 2018
First filing on the tape Mar 22, 2012 · 15 filings
RAUM
$217M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
81%
$176M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$217M as of Mar 27, 2018
Mar 22, 2012$129M then
HNW client RAUM: $81.1M
State-registered IARs (5.B.3)10 as of Mar 27, 2018
Mar 26, 201314 then
Employees (5.A)10 as of Mar 27, 2018
Mar 26, 201314 then
Private funds: no history
RAUM +27% over the last fiscal year+27% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Aug 29, 2018; every figure names its basis
- RAUM per advisor
- $21.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $681,340derivedHNW RAUM over HNW clients
- Average account
- $267,232derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$95.0M44%
- High-net-worth individuals$81.1M37%
- Pension and profit-sharing plans$24.1M11%
- Corporations and businesses$15.1M6.9%
- Other investment advisers$2.0M0.9%
- Individual clients
- 627reported
- HNW clients
- 119reported
- Pension plan clients
- 38reported
- Charitable clients
- 0reported
- Accounts
- 813reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- B•••• D•••• H•••••• to I•• R•••••• A••••••• I••Dec 31, 2018 · Other
- K•••• M•••••• G••••• to C••••• A•••••• N••••••• L••Dec 31, 2018 · Other
- J••• J••••• I••••••••• to I•• R•••••• A••••••• I••Dec 31, 2018 · Other
- J•••• A••••• I••••••••• to W••••• S••••• S••••••••• I•••Dec 31, 2018 · Other
- B•••• R••• L••••• to C••••• A•••••• N••••••• L••Dec 31, 2018 · Other
- S•••••••• W•••• M••••••••• to W••••• S••••• S••••••••• I•••Dec 31, 2018 · Other
- E•••• S••••• T••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 22, 2017 · Other
- J••• W•••• C••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 22, 2017 · Other
- R••••• B•••• H••••••• to K••••• A••••••• S•••••••• L••Sep 1, 2016 · Other
- K•••• F•••••••• H•••••• to V•••••• F•••••••• G••••• I•••Nov 6, 2014 · Other
- R••••• M••••••• F•••• to F••••••• F•••••• P••••••• C••••Nov 21, 2013 · Other
- J••• W•••••• T••••••• to G••••• F•••••••• P•••••• C••••••• I•••Oct 1, 2013 · Other
- C•••••• T•••• C••••••• to M•• I•••••••• S•••••••• L••Apr 17, 2013 · Other
- K•• T•••• M•••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 8, 2012 · Other
- M••••••• J••••••• B•••• to L•• F•••••••• L••Aug 12, 2010 · Other
Joined, latest
- E•••• S••••• T••••••• from I•• R•••••• A••••••• I••Jul 12, 2016 · Other
- J••• W•••• C••••••• from I•• R•••••• A••••••• I••Jul 12, 2016 · Other
- B•••• R••• L••••• from W••••• S••••• S••••••••• I•••Jan 8, 2013 · Other
- R••••• M••••••• F•••• from I•• A••••••• S•••••••• L••Jan 2, 2013 · Other
- K•••• F•••••••• H•••••• from I•• R•••••• A••••••• I••Oct 12, 2011 · Other
- K•••• M•••••• G••••• from W••••• S••••• S••••••••• I•••Jan 12, 2011 · Other
- R••••• B•••• H••••••• from I•• R•••••• A••••••• I••Nov 16, 2010 · Other
- M••••••• J••••••• B•••• from I•• R•••••• A••••••• I••Jul 1, 2010 · Other
- K•• T•••• M•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 14, 2009 · Other
- C•••••• T•••• C••••••• from M•• I•••••••• S•••••••• L••Apr 2, 2008 · Other
- E••••• R•••••• W•••• from A••••••••• F•••••••• S•••••••• L••Mar 4, 2004 · Other
- S•••••••• W•••• M••••••••• from I•• R•••••• A••••••• I••Jun 4, 2003 · Other
- J••• W•••••• T••••••• from I•• R•••••• A••••••• I••Dec 31, 2001 · Other
- J•••• M••••••• B••••• from I•• R•••••• A••••••• I••Aug 15, 2000 · Other
- J•••• G••••• H•••••• from I•• R•••••• A••••••• I••May 5, 1998 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for I•• R•••••• A••••••• I••Dec 31, 2018 · Berwyn, Pa
- 2 left for C••••• A•••••• N••••••• L••Dec 31, 2018 · Berwyn, Pa
- 2 left for W••••• S••••• S••••••••• I•••Dec 31, 2018 · Allentown, Pa
- 2 left for R•••••• J•••• F•••••••• S••••••• A•••••••• I••Feb 22, 2017 · Mooresville, Nc
- 2 joined from I•• R•••••• A••••••• I••Feb 22, 2017 · Mooresville, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• J••••• W••••• · Presidentcontrolsince 04/1988 · owns 75% or more
- G•••••• K••••• M•••••• · Chief Investment Officersince 05/2014 · owns less than 5%
- R•••• R•••••• A•• · Chief Compliance Officersince 12/1997 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list A••••••• F•••••••• M••••••••• G••••• L••• as a related person
- 108677 n
Offices
Schedule D 1.F, the 25 largest
- Allentown, PA4 employees
- Doylestown, PA1 employees
- Milford, DE1 employees
What changed
consecutive filings, newest first
- Accounts · 630 to 813Mar 16, 2017 to Mar 27, 2018
- Advisory employees · 9 to 10Mar 16, 2017 to Mar 27, 2018
- Advisory activities · 6 to 5Mar 16, 2017 to Mar 27, 2018
- Charity clients · unset to 0.0Mar 16, 2017 to Mar 27, 2018
- Corporate clients · unset to 7.0Mar 16, 2017 to Mar 27, 2018
- HNW clients · unset to 119.0Mar 16, 2017 to Mar 27, 2018
- Individual clients · unset to 627.0Mar 16, 2017 to Mar 27, 2018
- Pension plan clients · unset to 38.0Mar 16, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 0.0Mar 16, 2017 to Mar 27, 2018
- Insurance-licensed employees · 7 to 8Mar 16, 2017 to Mar 27, 2018
- Financial planning clients · 26-50 to 11-25Mar 16, 2017 to Mar 27, 2018
- Other offices · unset to 3.0Mar 16, 2017 to Mar 27, 2018
- Discretionary RAUM · $45.6M to $126MMar 16, 2017 to Mar 27, 2018
- HNW RAUM · unset to 81079491.0Mar 16, 2017 to Mar 27, 2018
- Individual RAUM · unset to 95013704.0Mar 16, 2017 to Mar 27, 2018
- Non-discretionary RAUM · $83.9M to $91.1MMar 16, 2017 to Mar 27, 2018
- Pension RAUM · unset to 24090327.0Mar 16, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 16, 2017 to Mar 27, 2018
- RAUM · $130M to $217MMar 16, 2017 to Mar 27, 2018
- Related adviser · true to falseMar 16, 2017 to Mar 27, 2018
- Accounts · 632 to 630Mar 1, 2017 to Mar 16, 2017
- Non-discretionary RAUM · $125M to $83.9MMar 1, 2017 to Mar 16, 2017
- RAUM · $171M to $130MMar 1, 2017 to Mar 16, 2017
- Accounts · 595 to 632May 17, 2016 to Mar 1, 2017
- Advisory employees · 8 to 9May 17, 2016 to Mar 1, 2017
- BD registered reps · 11 to 10May 17, 2016 to Mar 1, 2017
- Employees · 11 to 10May 17, 2016 to Mar 1, 2017
- Insurance-licensed employees · 8 to 7May 17, 2016 to Mar 1, 2017
- State-registered IARs · 11 to 10May 17, 2016 to Mar 1, 2017
- Discretionary RAUM · $39.2M to $45.6MMay 17, 2016 to Mar 1, 2017
- Non-discretionary RAUM · $110M to $125MMay 17, 2016 to Mar 1, 2017
- RAUM · $149M to $171MMay 17, 2016 to Mar 1, 2017
- Accounts · 498 to 595Oct 27, 2015 to Mar 10, 2016
- Advisory activities · 5 to 6Oct 27, 2015 to Mar 10, 2016
- BD registered reps · 8 to 11Oct 27, 2015 to Mar 10, 2016
- Employees · 8 to 11Oct 27, 2015 to Mar 10, 2016
- State-registered IARs · 8 to 11Oct 27, 2015 to Mar 10, 2016
- Discretionary RAUM · $27.0M to $39.2MOct 27, 2015 to Mar 10, 2016
- Non-discretionary RAUM · $77.9M to $110MOct 27, 2015 to Mar 10, 2016
- RAUM · $105M to $149MOct 27, 2015 to Mar 10, 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