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
C••••• C•••• P•••••••
Legal name P••••••• D••••••••• I•••
Latest filing Feb 12, 2026
First filing on the tape Dec 5, 2011 · 32 filings
SEC status approved since Jan 14, 2004
RAUM
$542M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
92%
$497M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$90.4M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$542M as of Feb 12, 2026
Feb 29, 2012$109M then
HNW client RAUM$363M as of Feb 12, 2026
Mar 16, 2018$131M then
State-registered IARs (5.B.3)4 as of Feb 12, 2026
Feb 29, 20120 then
Employees (5.A)8 as of Feb 12, 2026
Mar 25, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 12, 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
- $90.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $379,067derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$363M73%
- Individuals$134M27%
- Pension and profit-sharing plans$1.2M0.2%
- Corporations and businesses$1.0M0.2%
- Charitable organizations$44,0040.0%
- Individual clients
- 308reported
- HNW clients
- 144reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,431reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••••••• J••• D•••••Chartered Financial Consultant | Glen Mills, Pa | Jun 24, 1993 | 43 y | 1 |
| W•••••• F•••••• M•••••Certified Financial Planner | Glen Mills, Pa | Aug 8, 2007 | 33 y | 1 |
| M•••••• S•••• E••••Certified Financial Planner | Glen Mills, Pa | Jan 12, 2016 | 17 y | 1 |
| K•••• P•••••• L•••Certified Financial Planner | Glen Mills, Pa | Feb 23, 2022 | 13 y | 0 |
| V••••••• R• P••••••Certified Financial Planner | Glen Mills, Pa | Feb 15, 2023 | 13 y | 1 |
| M•••••• L••••• M•••••• S•••••Certified Financial Planner | Glen Mills, Pa | Jun 8, 2026 | 19 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••• L••••• M•••••• S••••• from K••••••• C•••••• M••••••••• L••Jun 8, 2026 · RIA to RIA
- V••••••• R• P•••••• from C••••••••• F•••••••• N••••••Feb 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- W•••••• F•••••• M••••• from V••••••• A•••••••• I•••Aug 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• M••••••• S•••• · President And Chief Compliance Officercontrolsince 07/2023 · owns 50% to 75%
- M•••••• W••••••• F•••••• · Chief Executive Officercontrolsince 07/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Glen Mills, Pa · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 12, 2026pension consulting (Item 5.G.6): no on the filing of 2025-12-24, yes on the filing of 2026-02-12peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,342 to 1,431Dec 24, 2025 to Feb 12, 2026
- Advisory activities · 2 to 3Dec 24, 2025 to Feb 12, 2026
- HNW clients · 127 to 144Dec 24, 2025 to Feb 12, 2026
- Individual clients · 298 to 308Dec 24, 2025 to Feb 12, 2026
- Discretionary RAUM · $447M to $500MDec 24, 2025 to Feb 12, 2026
- HNW RAUM · $316M to $363MDec 24, 2025 to Feb 12, 2026
- Individual RAUM · $127M to $134MDec 24, 2025 to Feb 12, 2026
- Non-discretionary RAUM · $39.5M to $42.9MDec 24, 2025 to Feb 12, 2026
- Pension RAUM · $2.2M to $1.2MDec 24, 2025 to Feb 12, 2026
- RAUM · $486M to $542MDec 24, 2025 to Feb 12, 2026
- Accounts · 1,258 to 1,342Nov 20, 2024 to Apr 25, 2025
- Business name · P••••••• D••••••••• I••• to C••••• C•••• P•••••••Nov 20, 2024 to Apr 25, 2025
- HNW clients · 108 to 127Nov 20, 2024 to Apr 25, 2025
- Individual clients · 293 to 298Nov 20, 2024 to Apr 25, 2025
- Employees · 7 to 8Nov 20, 2024 to Apr 25, 2025
- Financial planning clients · 26-50 to 11-25Nov 20, 2024 to Apr 25, 2025
- Discretionary RAUM · $386M to $447MNov 20, 2024 to Apr 25, 2025
- HNW RAUM · $258M to $316MNov 20, 2024 to Apr 25, 2025
- Individual RAUM · $125M to $127MNov 20, 2024 to Apr 25, 2025
- Non-discretionary RAUM · $36.8M to $39.5MNov 20, 2024 to Apr 25, 2025
- Pension RAUM · $2.1M to $2.2MNov 20, 2024 to Apr 25, 2025
- RAUM · $423M to $486MNov 20, 2024 to Apr 25, 2025
- Other offices · 0 to 1Jun 28, 2024 to Nov 20, 2024
- Accounts · 1,173 to 1,258Jul 6, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Jul 6, 2023 to Mar 28, 2024
- BD registered reps · 5 to 4Jul 6, 2023 to Mar 28, 2024
- HNW clients · 104 to 108Jul 6, 2023 to Mar 28, 2024
- Individual clients · 280 to 293Jul 6, 2023 to Mar 28, 2024
- Employees · 6 to 7Jul 6, 2023 to Mar 28, 2024
- State-registered IARs · 5 to 4Jul 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $334M to $386MJul 6, 2023 to Mar 28, 2024
- HNW RAUM · $224M to $258MJul 6, 2023 to Mar 28, 2024
- Individual RAUM · $111M to $125MJul 6, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $36.8MJul 6, 2023 to Mar 28, 2024
- Pension RAUM · unset to 2104483.0Jul 6, 2023 to Mar 28, 2024
- RAUM · $334M to $423MJul 6, 2023 to Mar 28, 2024
- BD registered reps · 3 to 5Mar 28, 2023 to Jul 6, 2023
- Other offices · 1 to 0Mar 28, 2023 to Jul 6, 2023
- Accounts · 1,074 to 1,173Aug 8, 2022 to Mar 6, 2023
- Advisory employees · 3 to 5Aug 8, 2022 to Mar 6, 2023
Signals
3 dated events
- Scott Matthew Ellis (President And Chief Compliance Officer) appeared on Schedule A of C••••• C•••• P•••••••Jul 6, 2023 · Control person joined · fact
- Francis William Muller (Chief Executive Officer) appeared on Schedule A of C••••• C•••• P•••••••Jul 6, 2023 · Control person joined · fact
- John Frederick Dunbar (President And Chief Compliance Officer) no longer on Schedule A of C••••• C•••• P••••••• (listed 2023-03-28, absent 2023-07-06)Jul 6, 2023 · Control person left · inference
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 email
- info@commoncentsplanning.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-361-0865reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/common-cents-planningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••C••••P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-361-0865reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- commoncentsplanning.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- commoncentsplanning.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $90.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026