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•••••••• M••••••• P•••
Latest filing Jan 22, 2026
First filing on the tape Nov 8, 2011 · 14 filings
SEC status approved since Jun 30, 2020
RAUM
$241M
reported, Item 5.F
Discretionary
0.7%
of RAUM
Private clients
100%
$241M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$241M as of Jan 22, 2026
Jan 23, 2012$51.1M then
HNW client RAUM$63.6M as of Jan 22, 2026
Feb 25, 2021$94.4M then
State-registered IARs (5.B.3)0 as of Jan 22, 2026
Jan 23, 20120 then
Employees (5.A)1 as of Jan 22, 2026
Feb 25, 20211 then
Private funds: no history
RAUM +21% over the last fiscal year+15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $9.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$177M74%
- High-net-worth individuals$63.6M26%
- Individual clients
- 199reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 206reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• M••• M••••••Certified Financial Planner | Collegeville, Pa | Feb 19, 2003 | 39 y | 0 |
| C••••••••• A•••••• T•••••• | Collegeville, Pa | Aug 26, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••••• M••• · President & Chief Compliance Officercontrolsince 05/1985 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Collegeville, Pa · principal | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 22, 2026accounts (Item 5.F.2.f) moved from 545.0 to 206.0 (-62.0%) between the annual amendments of 2025-01-10 and 2026-01-22; the peer median change was +5.0% (3686 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.9% percentile
- HNW share shiftChange between filings · filing Jan 22, 2026HNW share of RAUM moved from 50.0% to 26.0% between the annual amendments of 2025-01-10 and 2026-01-22peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 545 to 206Jan 10, 2025 to Jan 22, 2026
- HNW clients · 51 to 7Jan 10, 2025 to Jan 22, 2026
- Individual clients · 143 to 199Jan 10, 2025 to Jan 22, 2026
- Assets in custody · $1.3M to $1.6MJan 10, 2025 to Jan 22, 2026
- Discretionary RAUM · $1.3M to $1.6MJan 10, 2025 to Jan 22, 2026
- HNW RAUM · $99.0M to $63.6MJan 10, 2025 to Jan 22, 2026
- Individual RAUM · $99.0M to $177MJan 10, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $197M to $239MJan 10, 2025 to Jan 22, 2026
- RAUM · $198M to $241MJan 10, 2025 to Jan 22, 2026
- Accounts · 525 to 545Jan 25, 2024 to Jan 10, 2025
- HNW clients · 42 to 51Jan 25, 2024 to Jan 10, 2025
- Individual clients · 151 to 143Jan 25, 2024 to Jan 10, 2025
- Assets in custody · $1.2M to $1.3MJan 25, 2024 to Jan 10, 2025
- Financial planning clients · 101-250 to 101-250Jan 25, 2024 to Jan 10, 2025
- Discretionary RAUM · $1.2M to $1.3MJan 25, 2024 to Jan 10, 2025
- HNW RAUM · $119M to $99.0MJan 25, 2024 to Jan 10, 2025
- Individual RAUM · $50.8M to $99.0MJan 25, 2024 to Jan 10, 2025
- Non-discretionary RAUM · $169M to $197MJan 25, 2024 to Jan 10, 2025
- RAUM · $170M to $198MJan 25, 2024 to Jan 10, 2025
- Accounts · 538 to 525Aug 30, 2023 to Jan 25, 2024
- HNW clients · 40 to 42Aug 30, 2023 to Jan 25, 2024
- Individual clients · 156 to 151Aug 30, 2023 to Jan 25, 2024
- Assets in custody · $1.1M to $1.2MAug 30, 2023 to Jan 25, 2024
- Discretionary RAUM · $1.1M to $1.2MAug 30, 2023 to Jan 25, 2024
- HNW RAUM · $107M to $119MAug 30, 2023 to Jan 25, 2024
- Individual RAUM · $50.2M to $50.8MAug 30, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $156M to $169MAug 30, 2023 to Jan 25, 2024
- RAUM · $158M to $170MAug 30, 2023 to Jan 25, 2024
- Accounts · 505 to 538Feb 4, 2022 to Jan 25, 2023
- HNW clients · 30 to 40Feb 4, 2022 to Jan 25, 2023
- Individual clients · 163 to 156Feb 4, 2022 to Jan 25, 2023
- Assets in custody · $1.2M to $1.1MFeb 4, 2022 to Jan 25, 2023
- Discretionary RAUM · $1.2M to $1.1MFeb 4, 2022 to Jan 25, 2023
- HNW RAUM · $112M to $107MFeb 4, 2022 to Jan 25, 2023
- Individual RAUM · $57.8M to $50.2MFeb 4, 2022 to Jan 25, 2023
- Non-discretionary RAUM · $168M to $156MFeb 4, 2022 to Jan 25, 2023
- RAUM · $169M to $158MFeb 4, 2022 to Jan 25, 2023
- Accounts · 463 to 505Sep 9, 2021 to Feb 4, 2022
- HNW clients · 35 to 30Sep 9, 2021 to Feb 4, 2022
- Individual clients · 137 to 163Sep 9, 2021 to Feb 4, 2022
Signals
1 dated events
- C•••••••• M••••••• P••• filed its initial SEC registration (Form ADV)May 20, 2020 · 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
- 610-489-7925reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••••M••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-489-7925reportedpublic record, Form ADV, Jan 22, 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026