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••••• O•• S••••• A•••••• I••••••••• C••••••
Latest filing Jul 20, 2026
First filing on the tape Feb 23, 2012 · 31 filings
SEC status approved since Jul 31, 2015
RAUM
$398M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$395M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$99.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$398M as of Jul 20, 2026
Feb 23, 2012$50.4M then
HNW client RAUM$352M as of Jul 20, 2026
Mar 20, 2018$123M then
State-registered IARs (5.B.3)4 as of Jul 20, 2026
Feb 23, 20120 then
Employees (5.A)5 as of Jul 20, 2026
Feb 24, 20163 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Jul 20, 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
- RAUM per advisor
- $99.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $557,158derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $61.4M, 44 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$352M88%
- Individuals$42.9M11%
- Charitable organizations$3.8M1.0%
- Individual clients
- 88reported
- HNW clients
- 87reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 715reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.4M for 44 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• L••• D•••••Personal Financial Specialist, Chartered Financial Analyst | Mechanicsburg, Pa | Feb 10, 2003 | 50 y | 1 |
| J••• J•••• H•••••Certified Financial Planner | Mechanicsburg, Pa | Feb 14, 2023 | 26 y | 1 |
| G•••• C•••••• M••••••• | Mechanicsburg, Pa | May 25, 2023 | 21 y | 3 |
| D••• M•••••• D•••••Chartered Financial Analyst | Mechanicsburg, Pa | Jul 16, 2026 | 12 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
- T•••••• D••••• L•••• to L••••••••• W••••• M••••••••• L••Jan 25, 2022 · RIA to RIA
- J•••• K•••••• A•••• to A••••••• S••••••• N••••••Nov 30, 2020 · RIA to RIA
Joined, latest
- G•••• C•••••• M••••••• from O•••••• C•••••• M••••••••• L••May 25, 2023 · Other
- J••• J•••• H••••• from G•••••• S•••• W••••• S•••••••• L•••Feb 14, 2023 · Other
- T•••••• D••••• L•••• from D••••• • K•••••• P••••••••• M••••••••• C•••••••••Sep 29, 2017 · Other
- D••••• L••• D••••• from D••••• • K•••••• P••••••••• M••••••••• C•••••••••Feb 10, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• D•••••• L••• · President/Chief Compliance Officercontrolsince 08/2002 · owns 75% or more
- H•••••• J•••• J•••• · Vice Presidentsince 01/2023 · owns less than 5%
- M•••••••• G••••• C•••••• · Vice Presidentsince 12/2021 · owns less than 5%
- W•••••••• J•••••••• M••• · Vice Presidentsince 02/2023 · owns less than 5%
Related persons
Schedule D 7.A
- D••••• • K•••••• P••••••••• M••••••••• C•••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mechanicsburg, Pa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 19, 2026 to Jul 20, 2026
- Employees · 4 to 5Mar 19, 2026 to Jul 20, 2026
- State-registered IARs · 3 to 4Mar 19, 2026 to Jul 20, 2026
- Accounts · 701 to 715Sep 16, 2025 to Mar 19, 2026
- HNW clients · 75 to 87Sep 16, 2025 to Mar 19, 2026
- Individual clients · 97 to 88Sep 16, 2025 to Mar 19, 2026
- Assets in custody · $187M to $61.4MSep 16, 2025 to Mar 19, 2026
- Employees · 3 to 4Sep 16, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 51-100Sep 16, 2025 to Mar 19, 2026
- Discretionary RAUM · $330M to $387MSep 16, 2025 to Mar 19, 2026
- HNW RAUM · $288M to $352MSep 16, 2025 to Mar 19, 2026
- Individual RAUM · $49.1M to $42.9MSep 16, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $10.6M to $11.5MSep 16, 2025 to Mar 19, 2026
- RAUM · $340M to $398MSep 16, 2025 to Mar 19, 2026
- Advisory employees · 4 to 3Apr 30, 2025 to Sep 16, 2025
- Employees · 4 to 3Apr 30, 2025 to Sep 16, 2025
- Financial planning clients · 0 to 0Apr 30, 2025 to Sep 16, 2025
- State-registered IARs · 4 to 3Apr 30, 2025 to Sep 16, 2025
- Other offices · 1 to 0Apr 30, 2025 to Sep 16, 2025
- Advisory employees · 3 to 4Feb 10, 2025 to Apr 30, 2025
- Employees · 3 to 4Feb 10, 2025 to Apr 30, 2025
- State-registered IARs · 3 to 4Feb 10, 2025 to Apr 30, 2025
- Other offices · 0 to 1Feb 10, 2025 to Apr 30, 2025
- Accounts · 676 to 701Mar 15, 2024 to Feb 10, 2025
- Advisory employees · 4 to 3Mar 15, 2024 to Feb 10, 2025
- HNW clients · 77 to 75Mar 15, 2024 to Feb 10, 2025
- Individual clients · 85 to 97Mar 15, 2024 to Feb 10, 2025
- Assets in custody · $45.9M to $187MMar 15, 2024 to Feb 10, 2025
- Employees · 4 to 3Mar 15, 2024 to Feb 10, 2025
- Financial planning clients · 101-250 to 0Mar 15, 2024 to Feb 10, 2025
- State-registered IARs · 4 to 3Mar 15, 2024 to Feb 10, 2025
- Discretionary RAUM · $277M to $330MMar 15, 2024 to Feb 10, 2025
- HNW RAUM · $244M to $288MMar 15, 2024 to Feb 10, 2025
- Individual RAUM · $40.2M to $49.1MMar 15, 2024 to Feb 10, 2025
- Non-discretionary RAUM · $10.4M to $10.6MMar 15, 2024 to Feb 10, 2025
- RAUM · $287M to $340MMar 15, 2024 to Feb 10, 2025
- Accounts · 619 to 676Jan 11, 2024 to Mar 15, 2024
- Advisory employees · 3 to 4Jan 11, 2024 to Mar 15, 2024
- Charity clients · unset to 1.0Jan 11, 2024 to Mar 15, 2024
- HNW clients · 80 to 77Jan 11, 2024 to Mar 15, 2024
Signals
2 dated events
- T•••••• D••••• L•••• left M••••• O•• S••••• A•••••• I••••••••• C•••••• for L••••••••• W••••• M••••••••• L•• (registered 2021-01-29)Jan 25, 2022 · Advisor changed firm · fact
- M••••• O•• S••••• A•••••• I••••••••• C•••••• filed its initial SEC registration (Form ADV)Jul 17, 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
- 717-790-9001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-763-4709reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-790-9031reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-790-9001reportedpublic record, Form ADV, Jul 20, 2026
- Contact form
- investwithmosaic.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- investwithmosaic.com/who-we-arereportedpublished 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
- $99.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026