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
M•••••••• F•••••••• A•••••••
Legal name M•••••••• F•••••••• A•••••••• I•••
Latest filing Apr 21, 2026
First filing on the tape Jul 14, 2020 · 24 filings
SEC status approved since Aug 10, 2020
RAUM
$453M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$453M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$56.6M
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$453M as of Apr 21, 2026
Jan 15, 2021$248M then
HNW client RAUM$390M as of Apr 21, 2026
Jan 15, 2021$186M then
State-registered IARs (5.B.3)8 as of Apr 21, 2026
Jan 15, 20215 then
Employees (5.A)9 as of Apr 21, 2026
Jan 15, 20216 then
Private funds: no history
RAUM +8.5% over the last fiscal year+18% a year over threeIARs 7 to 8offices 1 to 2
Practice profile
derived from the filing of Apr 21, 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
- $56.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $263,525derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $6.5M, 42 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
- 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 cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$390M86%
- Individuals$62.6M14%
- Individual clients
- 108reported
- HNW clients
- 159reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,719reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 42 clientsreported
- 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
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• A••• R•••••Certified Financial Planner | State College, Pa | Sep 5, 2014 | 12 y | 0 |
| J••••••• M••••••• A••••••• | State College, Pa | Feb 26, 2015 | 18 y | 0 |
| B•••••• K•••• R••••••Certified Financial Planner | State College, Pa | Feb 1, 2017 | 14 y | 0 |
| J••••• K••• P••••Certified Financial Planner | State College, Pa | May 22, 2019 | 15 y | 0 |
| A••••• N•••••• C•••••••••Certified Financial Planner | State College, Pa | Sep 13, 2021 | 10 y | 0 |
| R••• M•• W••••••Certified Financial Planner | State College, Pa | Jan 9, 2024 | 12 y | 0 |
| D••• R•••• R••• | State College, Pa | Dec 17, 2024 | 27 y | 0 |
| K••• W••• Z•••••• | State College, Pa | Mar 11, 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 headcount1 left over 36 months
Left, latest
- R•••••••• E•••••••• P••••• to D••••• F•••••••• C•••Nov 6, 2023 · RIA to RIA
- K••••••• M•••• P•••• to B•••••• W•••••Jul 13, 2021 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• G••••••• A••• · President / Financial Advisorcontrolsince 02/2017 · owns 25% to 50%
- A•••••••• J•••••••• M••••••• · Cfo / Chief Compliance Officersince 02/2017 · owns 10% to 25%
- M••••••••• J••••••• L•• · Emeritus Advisorsince 07/1999 · owns 10% to 25%
- P••••• J•••••• K••• · Advisorsince 01/2023 · owns 5% to 10%
- R••••••• B••••••• K•••• · Vice President / Advisorsince 01/2021 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| State College, Pa · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Harrisburg, PA3 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 26, 2026 to Apr 21, 2026
- Advisory employees · 7 to 8Feb 6, 2026 to Mar 26, 2026
- State-registered IARs · 7 to 8Feb 6, 2026 to Mar 26, 2026
- Accounts · 1,487 to 1,719Nov 13, 2025 to Feb 6, 2026
- HNW clients · 157 to 159Nov 13, 2025 to Feb 6, 2026
- Individual clients · 107 to 108Nov 13, 2025 to Feb 6, 2026
- Assets in custody · unset to 6489733.0Nov 13, 2025 to Feb 6, 2026
- Custody of client assets · false to trueNov 13, 2025 to Feb 6, 2026
- Discretionary RAUM · $397M to $403MNov 13, 2025 to Feb 6, 2026
- HNW RAUM · $359M to $390MNov 13, 2025 to Feb 6, 2026
- Individual RAUM · $58.4M to $62.6MNov 13, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $20.7M to $50.0MNov 13, 2025 to Feb 6, 2026
- RAUM · $417M to $453MNov 13, 2025 to Feb 6, 2026
- Financial planning clients · 251-500 to 251-500Mar 14, 2025 to Jul 17, 2025
- Accounts · 2,005 to 1,487Oct 16, 2024 to Jan 22, 2025
- HNW clients · 126 to 157Oct 16, 2024 to Jan 22, 2025
- Individual clients · 139 to 107Oct 16, 2024 to Jan 22, 2025
- Discretionary RAUM · $307M to $397MOct 16, 2024 to Jan 22, 2025
- HNW RAUM · $292M to $359MOct 16, 2024 to Jan 22, 2025
- Individual RAUM · $49.5M to $58.4MOct 16, 2024 to Jan 22, 2025
- Non-discretionary RAUM · $34.3M to $20.7MOct 16, 2024 to Jan 22, 2025
- RAUM · $342M to $417MOct 16, 2024 to Jan 22, 2025
- Accounts · 1,082 to 2,005Jan 13, 2023 to Jan 22, 2024
- HNW clients · 90 to 126Jan 13, 2023 to Jan 22, 2024
- Individual clients · 155 to 139Jan 13, 2023 to Jan 22, 2024
- Employees · 7 to 9Jan 13, 2023 to Jan 22, 2024
- Financial planning clients · 101-250 to 251-500Jan 13, 2023 to Jan 22, 2024
- Discretionary RAUM · $233M to $307MJan 13, 2023 to Jan 22, 2024
- HNW RAUM · $85.0M to $292MJan 13, 2023 to Jan 22, 2024
- Individual RAUM · $193M to $49.5MJan 13, 2023 to Jan 22, 2024
- Non-discretionary RAUM · $45.0M to $34.3MJan 13, 2023 to Jan 22, 2024
- RAUM · $278M to $342MJan 13, 2023 to Jan 22, 2024
- Accounts · 987 to 1,082Jan 27, 2022 to Jan 13, 2023
- HNW clients · 97 to 90Jan 27, 2022 to Jan 13, 2023
- Individual clients · 143 to 155Jan 27, 2022 to Jan 13, 2023
- Discretionary RAUM · $247M to $233MJan 27, 2022 to Jan 13, 2023
- HNW RAUM · $211M to $85.0MJan 27, 2022 to Jan 13, 2023
- Individual RAUM · $80.2M to $193MJan 27, 2022 to Jan 13, 2023
- Non-discretionary RAUM · $44.4M to $45.0MJan 27, 2022 to Jan 13, 2023
- RAUM · $291M to $278MJan 27, 2022 to Jan 13, 2023
Signals
2 dated events
- R•••••••• E•••••••• P••••• left M•••••••• F•••••••• A••••••• for D••••• F•••••••• C••• (registered 2025-05-07)Nov 6, 2023 · Advisor changed firm · fact
- M•••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Jul 14, 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
- Website
- M••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 814-235-1940reportedpublic record, Form ADV, Apr 21, 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
- $56.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026