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
U• A•••• M••••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Jan 31, 2003
RAUM
$358M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
2.6%
$9.3M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$358M as of Mar 5, 2026
Mar 28, 2012$124M then
HNW client RAUM$9.3M as of Mar 5, 2026
Mar 23, 2018$0 then
State-registered IARs (5.B.3)4 as of Mar 5, 2026
Apr 1, 20131 then
Employees (5.A)6 as of Mar 5, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +12% over the last fiscal year-3.1% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $7.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 86%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$290M92%
- Pension and profit-sharing plans$16.9M5.3%
- High-net-worth individuals$9.3M2.9%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 49reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.03 fund_share=0.0 institutional_share=0.86 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 |
|---|---|---|---|---|
| E•••• J••••• L••••• | Pittsburgh, Pa | Aug 13, 2010 | 23 y | 1 |
| C•••• I•• K••••••••• | Pittsburgh, Pa | Jul 5, 2023 | 11 y | 0 |
| C•••••••• C•••• Z•••••• | Pittsburgh, Pa | Apr 4, 2024 | 32 y | 3 |
| S•••• T•••••• D•••••Chartered Financial Analyst | North Little Rock, Ar | Sep 29, 2025 | 26 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- S•••• T•••••• D••••• from C••••••• M••••• L••Sep 29, 2025 · Other
- C•••••••• C•••• Z•••••• from L•• F•••••••• L••Apr 4, 2024 · Other
- E•••• J••••• L••••• from B•••••••• C•••••• A•••••••• I•••Aug 13, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• E••••• J••••• · Director Of Investmentscontrolsince 06/2010 · owns 75% or more
- F•••••••• M••••••• E• · Chief Compliance Officersince 03/2022 · 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 |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 42 to 49Apr 3, 2025 to Mar 5, 2026
- Advisory employees · 3 to 4Apr 3, 2025 to Mar 5, 2026
- HNW clients · 6 to 7Apr 3, 2025 to Mar 5, 2026
- Employees · 5 to 6Apr 3, 2025 to Mar 5, 2026
- State-registered IARs · 3 to 4Apr 3, 2025 to Mar 5, 2026
- Discretionary RAUM · $321M to $342MApr 3, 2025 to Mar 5, 2026
- HNW RAUM · $7.6M to $9.3MApr 3, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $0 to $16.9MApr 3, 2025 to Mar 5, 2026
- Pension RAUM · $14.9M to $16.9MApr 3, 2025 to Mar 5, 2026
- RAUM · $321M to $358MApr 3, 2025 to Mar 5, 2026
- Accounts · 52 to 42Mar 21, 2024 to Apr 3, 2025
- Pension plan clients · unset to 11.0Mar 21, 2024 to Apr 3, 2025
- Employees · 6 to 5Mar 21, 2024 to Apr 3, 2025
- Financial planning clients · unset to Mar 21, 2024 to Apr 3, 2025
- State-registered IARs · 2 to 3Mar 21, 2024 to Apr 3, 2025
- Discretionary RAUM · $453M to $321MMar 21, 2024 to Apr 3, 2025
- HNW RAUM · $5.9M to $7.6MMar 21, 2024 to Apr 3, 2025
- Non-discretionary RAUM · $14.5M to $0Mar 21, 2024 to Apr 3, 2025
- Pension RAUM · $0 to $14.9MMar 21, 2024 to Apr 3, 2025
- RAUM · $467M to $321MMar 21, 2024 to Apr 3, 2025
- Accounts · 48 to 52Mar 31, 2023 to Mar 21, 2024
- Advisory activities · 3 to 4Mar 31, 2023 to Mar 21, 2024
- HNW clients · 5 to 6Mar 31, 2023 to Mar 21, 2024
- Employees · 4 to 6Mar 31, 2023 to Mar 21, 2024
- State-registered IARs · 1 to 2Mar 31, 2023 to Mar 21, 2024
- Discretionary RAUM · $395M to $453MMar 31, 2023 to Mar 21, 2024
- HNW RAUM · $5.9M to $5.9MMar 31, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $0 to $14.5MMar 31, 2023 to Mar 21, 2024
- RAUM · $395M to $467MMar 31, 2023 to Mar 21, 2024
- Accounts · 63 to 48May 24, 2022 to Mar 31, 2023
- Advisory employees · 2 to 3May 24, 2022 to Mar 31, 2023
- Advisory activities · 2 to 3May 24, 2022 to Mar 31, 2023
- HNW clients · unset to 5.0May 24, 2022 to Mar 31, 2023
- State-registered IARs · 2 to 1May 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $275M to $395MMay 24, 2022 to Mar 31, 2023
- HNW RAUM · $6.0M to $5.9MMay 24, 2022 to Mar 31, 2023
- RAUM · $275M to $395MMay 24, 2022 to Mar 31, 2023
- Accounts · 53 to 63Mar 29, 2021 to Mar 29, 2022
- Advisory activities · 4 to 2Mar 29, 2021 to Mar 29, 2022
- Employees · 6 to 4Mar 29, 2021 to Mar 29, 2022
Signals
4 dated events
- U• A•••• M••••••••• L•• reported RAUM $321.2M, down 31% from $467.5M (2024-03-21 to 2025-04-03)Apr 3, 2025 · RAUM change · derived
- U• A•••• M••••••••• L•• reported RAUM $394.5M, up 44% from $274.9M (2022-05-24 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Charles Joseph Wiesner (Member) no longer on Schedule A of U• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
- J Matthew Zeleznik (Cco) no longer on Schedule A of U• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
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
- Principal office phone
- 412-231-8209reportedpublic record, Form ADV, Mar 5, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026