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
P••••••••• F•••••••• A•••••••• I•••
Latest filing May 24, 2019
First filing on the tape Feb 9, 2012 · 11 filings
RAUM
$158M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
99%
$157M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$158M as of Jan 29, 2019
Feb 9, 2012$70.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Jan 29, 2019
Feb 9, 20120 then
Employees (5.A)6 as of Jan 29, 2019
May 4, 20166 then
Private funds: no history
RAUM +2.6% over the last fiscal year+12% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 24, 2019; every figure names its basis
- RAUM per advisor
- $31.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $115,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.6%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, otherreportedItem 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)
- 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 securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$157M99%
- Charitable organizations$987,5200.6%
- Pension and profit-sharing plans$783,6600.5%
- Individual clients
- 1,376reported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 1,376reported
- Financial planning clients
- 101-250reported
- 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
- G••••• D• K•••••••• to Z••••••••• I••••••••• M••••••••• • P••••••• L••Nov 22, 2019 · Other
- J•••••• S•••• N••••• to Z••••••••• I••••••••• M••••••••• • P••••••• L••Nov 22, 2019 · Other
- K••••••• I•••• S•••• to Z••••••••• I••••••••• M••••••••• • P••••••• L••Nov 22, 2019 · Other
- C••• H•••• Z••••••••• to Z••••••••• I••••••••• M••••••••• • P••••••• L••Nov 22, 2019 · Other
- D••••• J• G•••• to C•• F•••••••• M••••••••• I•••Feb 19, 2003 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Z••••••••• I••••••••• M••••••••• • P••••••• L••Nov 22, 2019 · Camp Hill, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••• M••••••• P••••• · Directorcontrolsince 03/1986 · owns 50% to 75%
- E••••••••• D••••• L•• · Chief Compliance Officercontrolsince 09/2018 · owns 10% to 25%
- N•••••• J••••••• S•••• · Director Of Marketingcontrolsince 02/2000 · owns 10% to 25%
- Z••••••••• C•••• H•••• · Presidentcontrolsince 09/2018 · owns 10% to 25%
- S••••• K•••••••• I•••• · V.P. Operations/S••••••• Administratorsince 01/2006 · owns less than 5%
Related persons
Schedule D 7.A
- P•• S••••••• A•••• M••••••••• I•••broker-dealern
- P••••••••• A•••• M••••••••• A•••••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · CAMP HILL to NEW CUMBERLANDJan 29, 2019 to Apr 30, 2019
- Accounts · 1,270 to 1,376Nov 27, 2018 to Jan 29, 2019
- Charity clients · 4 to 3Nov 27, 2018 to Jan 29, 2019
- Individual clients · 1,265 to 1,376Nov 27, 2018 to Jan 29, 2019
- Assets in custody · $100M to $89.6MNov 27, 2018 to Jan 29, 2019
- Discretionary RAUM · $139M to $144MNov 27, 2018 to Jan 29, 2019
- Individual RAUM · $153M to $157MNov 27, 2018 to Jan 29, 2019
- Non-discretionary RAUM · $15.4M to $14.6MNov 27, 2018 to Jan 29, 2019
- Pension RAUM · $716,028 to $783,660Nov 27, 2018 to Jan 29, 2019
- RAUM · $154M to $158MNov 27, 2018 to Jan 29, 2019
- Accounts · 1,223 to 1,270Apr 6, 2017 to Mar 28, 2018
- Charity clients · unset to 4.0Apr 6, 2017 to Mar 28, 2018
- Individual clients · unset to 1265.0Apr 6, 2017 to Mar 28, 2018
- Pension plan clients · unset to 1.0Apr 6, 2017 to Mar 28, 2018
- Assets in custody · unset to 100286145.0Apr 6, 2017 to Mar 28, 2018
- Other offices · unset to 0.0Apr 6, 2017 to Mar 28, 2018
- Discretionary RAUM · $118M to $139MApr 6, 2017 to Mar 28, 2018
- Individual RAUM · unset to 152616114.0Apr 6, 2017 to Mar 28, 2018
- Non-discretionary RAUM · $14.3M to $15.4MApr 6, 2017 to Mar 28, 2018
- Pension RAUM · unset to 716028.0Apr 6, 2017 to Mar 28, 2018
- RAUM · $132M to $154MApr 6, 2017 to Mar 28, 2018
- Accounts · 1,046 to 1,223May 4, 2016 to Apr 6, 2017
- Discretionary RAUM · $100M to $118MMay 4, 2016 to Apr 6, 2017
- Non-discretionary RAUM · $12.3M to $14.3MMay 4, 2016 to Apr 6, 2017
- RAUM · $113M to $132MMay 4, 2016 to Apr 6, 2017
- Accounts · 1,005 to 1,046Jan 29, 2015 to May 4, 2016
- Discretionary RAUM · $97.9M to $100MJan 29, 2015 to May 4, 2016
- Non-discretionary RAUM · $12.1M to $12.3MJan 29, 2015 to May 4, 2016
- RAUM · $110M to $113MJan 29, 2015 to May 4, 2016
- Accounts · 795 to 1,005Feb 9, 2012 to Jan 5, 2015
- Advisory employees · unset to 5.0Feb 9, 2012 to Jan 5, 2015
- BD registered reps · unset to 5.0Feb 9, 2012 to Jan 5, 2015
- Employees · unset to 6.0Feb 9, 2012 to Jan 5, 2015
- State-registered IARs · 0 to 5Feb 9, 2012 to Jan 5, 2015
- Discretionary RAUM · $60.9M to $97.9MFeb 9, 2012 to Jan 5, 2015
- Non-discretionary RAUM · $9.5M to $12.1MFeb 9, 2012 to Jan 5, 2015
- RAUM · $70.4M to $110MFeb 9, 2012 to Jan 5, 2015
Signals
1 dated events
- P••••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jan 5, 2015 · 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.
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