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••••••• A•••• M••••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Mar 29, 2012 · 35 filings
SEC status approved since Nov 16, 2015
RAUM
$389M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$346M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$389M as of Mar 9, 2026
Mar 29, 2012$59.2M then
HNW client RAUM$257M as of Mar 9, 2026
Mar 29, 2018$64.5M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 21, 20163 then
Employees (5.A)3 as of Mar 9, 2026
Mar 21, 20163 then
Private funds: no history
RAUM +12% over the last fiscal year+26% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Mar 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 178derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $393,268derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $128M, 217 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M72%
- Individuals$89.0M25%
- Charitable organizations$6.7M1.9%
- Corporations and businesses$3.0M0.8%
- Individual clients
- 275reported
- HNW clients
- 81reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 988reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $128M for 217 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| R••••• F•••••• C••••••• | Huntingdon Valley, Pa | May 5, 1999 | 32 y | 0 |
| J•••• A•••• S••••••• | Feasterville, Pa | Jan 27, 2025 | 29 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- C••••• I••••• G•••••• to G•••••••• W••••• M••••••••• L••Jan 20, 2026 · RIA to RIA
- M••••••• B••• P••••••• to L••••• I••••••••• A•••••••• L••Jun 29, 2018 · RIA to a state-registered adviser
- L••• A••• B••••• to G••• Q•••• A•••••••• L••May 22, 2014 · Other
Joined, latest
- C••••• I••••• G•••••• from F•••• P••••••• W•••••• L••Oct 21, 2025 · RIA to RIA
- J•••• A•••• S••••••• from T•• W••• F••Jan 27, 2025 · Other
- M••••••• B••• P••••••• from B• R•••• W••••• M•••••••••May 24, 2017 · Other
- L••• A••• B••••• from U••••• C•••••• F•••••••• A•••••••May 7, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R•••••• F•••••• · President, Chief Compliance Officercontrolsince 11/1996 · owns 75% or more
- C•••••••• L••••• M•••• · Secretary & Treasurersince 12/2006 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Feasterville, Pa · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 965 to 988Dec 5, 2025 to Mar 9, 2026
- Advisory employees · 4 to 3Dec 5, 2025 to Mar 9, 2026
- Charity clients · 4 to 3Dec 5, 2025 to Mar 9, 2026
- Corporate clients · 11 to 5Dec 5, 2025 to Mar 9, 2026
- HNW clients · 80 to 81Dec 5, 2025 to Mar 9, 2026
- Individual clients · 292 to 275Dec 5, 2025 to Mar 9, 2026
- Assets in custody · $105M to $128MDec 5, 2025 to Mar 9, 2026
- Employees · 4 to 3Dec 5, 2025 to Mar 9, 2026
- State-registered IARs · 3 to 2Dec 5, 2025 to Mar 9, 2026
- Discretionary RAUM · $348M to $389MDec 5, 2025 to Mar 9, 2026
- HNW RAUM · $221M to $257MDec 5, 2025 to Mar 9, 2026
- Individual RAUM · $85.1M to $89.0MDec 5, 2025 to Mar 9, 2026
- RAUM · $348M to $389MDec 5, 2025 to Mar 9, 2026
- Accounts · 690 to 965Mar 12, 2024 to Feb 6, 2025
- Advisory employees · 3 to 4Mar 12, 2024 to Feb 6, 2025
- Charity clients · 7 to 4Mar 12, 2024 to Feb 6, 2025
- Corporate clients · 4 to 11Mar 12, 2024 to Feb 6, 2025
- HNW clients · 49 to 80Mar 12, 2024 to Feb 6, 2025
- Individual clients · 272 to 292Mar 12, 2024 to Feb 6, 2025
- Assets in custody · $61.5M to $105MMar 12, 2024 to Feb 6, 2025
- Employees · 3 to 4Mar 12, 2024 to Feb 6, 2025
- Financial planning clients · unset to Mar 12, 2024 to Feb 6, 2025
- State-registered IARs · 2 to 3Mar 12, 2024 to Feb 6, 2025
- Discretionary RAUM · $213M to $348MMar 12, 2024 to Feb 6, 2025
- HNW RAUM · $119M to $221MMar 12, 2024 to Feb 6, 2025
- Individual RAUM · $55.9M to $85.1MMar 12, 2024 to Feb 6, 2025
- RAUM · $213M to $348MMar 12, 2024 to Feb 6, 2025
- Accounts · 612 to 690Feb 28, 2023 to Mar 7, 2024
- Advisory employees · 2 to 3Feb 28, 2023 to Mar 7, 2024
- Charity clients · 6 to 7Feb 28, 2023 to Mar 7, 2024
- Corporate clients · 5 to 4Feb 28, 2023 to Mar 7, 2024
- HNW clients · 45 to 49Feb 28, 2023 to Mar 7, 2024
- Individual clients · 252 to 272Feb 28, 2023 to Mar 7, 2024
- Assets in custody · $30.0M to $61.5MFeb 28, 2023 to Mar 7, 2024
- Employees · 2 to 3Feb 28, 2023 to Mar 7, 2024
- State-registered IARs · 1 to 2Feb 28, 2023 to Mar 7, 2024
- Discretionary RAUM · $195M to $213MFeb 28, 2023 to Mar 7, 2024
- HNW RAUM · $102M to $119MFeb 28, 2023 to Mar 7, 2024
- Individual RAUM · $66.7M to $55.9MFeb 28, 2023 to Mar 7, 2024
- RAUM · $195M to $213MFeb 28, 2023 to Mar 7, 2024
Signals
3 dated events
- C••••• I••••• G•••••• left C••••••• A•••• M••••••••• I••• for G•••••••• W••••• M••••••••• L•• (registered 2026-08-12)Jan 20, 2026 · Advisor changed firm · fact
- C••••••• A•••• M••••••••• I••• reported RAUM $347.9M, up 63% from $212.9M (2024-03-12 to 2025-02-06)Feb 6, 2025 · RAUM change · derived
- C••••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Nov 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.
How to reach
public business contact points only, each with its source
- Business phone
- 215-856-9290reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 267-684-6127reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C•••••••ASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215 856 9290reportedpublic record, Form ADV, Mar 9, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026