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
P••••••••• C•••••• M••••••••• C••••
Latest filing Mar 12, 2026
First filing on the tape Mar 30, 2018 · 20 filings
SEC status approved since Apr 27, 2018
RAUM
$398M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$395M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$398M as of Mar 12, 2026
Mar 14, 2019$106M then
HNW client RAUM$368M as of Mar 12, 2026
Mar 14, 2019$82.9M then
State-registered IARs (5.B.3)2 as of Mar 12, 2026
Mar 14, 20193 then
Employees (5.A)4 as of Mar 12, 2026
Mar 14, 20195 then
Private funds: no history
RAUM +61% over the last fiscal year+34% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $456,182derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +61%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $60.4M, 69 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$368M93%
- Individuals$26.8M6.7%
- Pension and profit-sharing plans$2.4M0.6%
- Corporations and businesses$110,5050.0%
- Individual clients
- 91reported
- HNW clients
- 177reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 872reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $60.4M for 69 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| S•••••• P•••• W•••••Certified Financial Planner | Yardley, Pa | Jan 29, 2003 | 35 y | 1 |
| N••••••• M• W•••••Certified Financial Planner | Yardley, Pa | Mar 17, 2023 | 11 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
- D•••• J••••• N••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 20, 2019 · RIA to affiliated broker-dealer or bank
- P•••• C••••• N••••• to T•• M••••••• F•••••••• G••••• I••Aug 31, 2009 · Other
- D•••• A•••• E•••• to U•••••• I••••••••• I•••Apr 25, 2005 · Other
Joined, latest
- D•••• J••••• N••••• from M•• F•••••••• S•••••••• I•••Jun 22, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• S••••••• P•••• · Ccocontrolsince 04/1994 · 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 |
|---|---|---|---|---|---|
| Yardley, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 12, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- RAUM up 50 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $247,584,300 to $397,790,936 (+61.0%) between the annual amendments of 2025-03-18 and 2026-03-12; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 678 to 872Nov 20, 2025 to Mar 12, 2026
- Corporate clients · unset to 1.0Nov 20, 2025 to Mar 12, 2026
- HNW clients · 154 to 177Nov 20, 2025 to Mar 12, 2026
- Individual clients · 67 to 91Nov 20, 2025 to Mar 12, 2026
- Pension plan clients · unset to 1.0Nov 20, 2025 to Mar 12, 2026
- Assets in custody · $32.5M to $60.4MNov 20, 2025 to Mar 12, 2026
- HNW RAUM · $226M to $368MNov 20, 2025 to Mar 12, 2026
- Individual RAUM · $21.6M to $26.8MNov 20, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $248M to $398MNov 20, 2025 to Mar 12, 2026
- Pension RAUM · unset to 2399121.0Nov 20, 2025 to Mar 12, 2026
- RAUM · $248M to $398MNov 20, 2025 to Mar 12, 2026
- Accounts · 684 to 678May 3, 2024 to Mar 18, 2025
- BD registered reps · 2 to 0May 3, 2024 to Mar 18, 2025
- HNW clients · 115 to 154May 3, 2024 to Mar 18, 2025
- Individual clients · 57 to 67May 3, 2024 to Mar 18, 2025
- Commission compensation · true to falseMay 3, 2024 to Mar 18, 2025
- Assets in custody · unset to 32490924.0May 3, 2024 to Mar 18, 2025
- Custody of client assets · false to trueMay 3, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10May 3, 2024 to Mar 18, 2025
- HNW RAUM · $212M to $226MMay 3, 2024 to Mar 18, 2025
- Individual RAUM · $11.4M to $21.6MMay 3, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $224M to $248MMay 3, 2024 to Mar 18, 2025
- RAUM · $224M to $248MMay 3, 2024 to Mar 18, 2025
- Advisory employees · 3 to 2Mar 26, 2024 to May 3, 2024
- Employees · 5 to 4Mar 26, 2024 to May 3, 2024
- State-registered IARs · 3 to 2Mar 26, 2024 to May 3, 2024
- Accounts · 643 to 684Mar 17, 2023 to Mar 26, 2024
- HNW clients · 118 to 115Mar 17, 2023 to Mar 26, 2024
- Individual clients · 55 to 57Mar 17, 2023 to Mar 26, 2024
- HNW RAUM · $156M to $212MMar 17, 2023 to Mar 26, 2024
- Individual RAUM · $8.0M to $11.4MMar 17, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $164M to $224MMar 17, 2023 to Mar 26, 2024
- RAUM · $164M to $224MMar 17, 2023 to Mar 26, 2024
- Accounts · 618 to 643Mar 2, 2022 to Mar 17, 2023
- BD registered reps · 1 to 2Mar 2, 2022 to Mar 17, 2023
- HNW clients · 117 to 118Mar 2, 2022 to Mar 17, 2023
- Individual clients · 73 to 55Mar 2, 2022 to Mar 17, 2023
- Pension plan clients · 2.0 to unsetMar 2, 2022 to Mar 17, 2023
- Financial planning clients · 11-25 to 1-10Mar 2, 2022 to Mar 17, 2023
- State-registered IARs · 2 to 3Mar 2, 2022 to Mar 17, 2023
Signals
2 dated events
- P••••••••• C•••••• M••••••••• C•••• reported RAUM $397.8M, up 61% from $247.6M (2025-11-20 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- P••••••••• C•••••• M••••••••• C•••• filed its initial SEC registration (Form ADV)Mar 30, 2018 · 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
- 215-321-9312reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-321-9352reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-321-9312reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- procap.net/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026