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
S••••••••• B•••••••• S•••••••
Legal name S••••••••• B•••••••• S•••••••• I••
Latest filing Oct 20, 2023
First filing on the tape Oct 20, 2023 · 1 filings
RAUM
$16.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$16.2M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Oct 20, 2023; every figure names its basis
- RAUM per advisor
- $3.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 8derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $386,324derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$10.8M66%
- High-net-worth individuals$5.5M34%
- Individual clients
- 38reported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 42reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• T••••• S•••••• | Carnegie, Pa | Apr 5, 2011 | 34 y | 1 |
| H•••• J••••• K•••• | Pittsburgh, Pa | Jan 14, 2020 | 54 y | 1 |
Advisor movement
Left, latest
- R•••••• A• B•••• to N•••••• A•••••••Dec 4, 2023 · Other
- T••••••• F•••••• S••••• to C••••• A•••••• N••••••• L••Nov 26, 2019 · Other
- C•••••• W••••• M•••• to C••••• I••••••••• A••••••• L••Feb 28, 2018 · Other
- J••••• T••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••May 23, 2013 · Other
- M•••••• G•••• O••••••••• to C••••• A•••••• N••••••• L••Dec 16, 2011 · Other
Joined, latest
- R•••••• A• B•••• from B•••• A••••••• S•••••••• L••Mar 24, 2021 · RIA to a state-registered adviser
- T••••••• F•••••• S••••• from L•• F•••••••• L••Aug 18, 2020 · Affiliated broker-dealer or bank to a state-registered adviser
- B•••• D••• F•••••••• from M•• F•••••••• S•••••••• I•••Jan 26, 2017 · Other
- C•••••• W••••• M•••• from M•• F•••••••• S•••••••• I•••May 26, 2015 · Other
- T••••••• F•••••• S••••• from W••••• S••••• S••••••••• I•••Dec 11, 2012 · Other
- M•••••• G•••• O••••••••• from W••••• S••••• S••••••••• I•••May 11, 2011 · Other
- J••••• T••••• from W••••• S••••• S••••••••• I•••Apr 13, 2011 · Other
- R•••• T••••• S•••••• from W••••• S••••• S••••••••• I•••Apr 5, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Carnegie, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- R•••••• A• B•••• left S••••••••• B•••••••• S••••••• for N•••••• A••••••• (registered 2023-10-17)Dec 4, 2023 · a•••••• firm change · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-429-4040reportedpublic record, Form ADV, Oct 20, 2023
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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026