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.

Former SEC-registered adviser

Glen Eagle Advisors, LLC

Former SEC-registered adviserPrinceton, New JerseyCRD 124504SEC 801-79298IAPD
Latest filing Mar 24, 2015
First filing on the tape Nov 21, 2011 · 14 filings
RAUM
$128M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$128M as of Mar 24, 2015
Mar 30, 2012$29.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 24, 2015
Mar 30, 20120 then
Employees (5.A): 9
Private funds: no history
RAUM n/a over the last fiscal year+63% a year over three
Practice profile
derived from the filing of Mar 24, 2015; every figure names its basis
RAUM per advisor
$16.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$256,216derivedRAUM over accounts (5.F.2.f)
Discretionary
75%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
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
500reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Susan Ann Michel · Ceocontrol
      since 04/2012 · owns less than 5%
    • Gary A Moody · Chief Compliance Officercontrol
      since 08/2011 · owns less than 5%
    • Susan Ann Michel · Common Shareholdercontrol
      since 05/1988 · owns 75% or more of Glen Eagle Investments Inc.
    • Thomas Keith George · Financial And Operations Principal
      since 06/2013 · owns less than 5%
    Entity owners
    • Glen Eagle Investments Inc. · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Advisers that list Glen Eagle Advisors, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 436 to 500
      Mar 27, 2014 to Mar 24, 2015
    • Advisory employees · 7 to 8
      Mar 27, 2014 to Mar 24, 2015
    • Financial planning clients · 0 to 1-10
      Mar 27, 2014 to Mar 24, 2015
    • Discretionary RAUM · $89.7M to $96.3M
      Mar 27, 2014 to Mar 24, 2015
    • Non-discretionary RAUM · $33.5M to $31.8M
      Mar 27, 2014 to Mar 24, 2015
    • RAUM · $123M to $128M
      Mar 27, 2014 to Mar 24, 2015
    • Accounts · 156 to 436
      Jun 27, 2012 to Feb 26, 2014
    • Advisory employees · unset to 7.0
      Jun 27, 2012 to Feb 26, 2014
    • Advisory activities · 3 to 4
      Jun 27, 2012 to Feb 26, 2014
    • BD registered reps · unset to 7.0
      Jun 27, 2012 to Feb 26, 2014
    • Employees · unset to 9.0
      Jun 27, 2012 to Feb 26, 2014
    • State-registered IARs · 0 to 8
      Jun 27, 2012 to Feb 26, 2014
    • Discretionary RAUM · $4.1M to $89.7M
      Jun 27, 2012 to Feb 26, 2014
    • Non-discretionary RAUM · $26.6M to $33.5M
      Jun 27, 2012 to Feb 26, 2014
    • RAUM · $30.8M to $123M
      Jun 27, 2012 to Feb 26, 2014
    • Discretionary RAUM · $3.4M to $4.1M
      May 9, 2012 to Jun 15, 2012
    • Non-discretionary RAUM · $26.2M to $26.6M
      May 9, 2012 to Jun 15, 2012
    • RAUM · $29.6M to $30.8M
      May 9, 2012 to Jun 15, 2012
    • Accounts · 188 to 156
      Nov 21, 2011 to Mar 30, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 21, 2011 to Mar 30, 2012
    • Discretionary RAUM · $11.4M to $3.4M
      Nov 21, 2011 to Mar 30, 2012
    • Non-discretionary RAUM · $30.3M to $26.2M
      Nov 21, 2011 to Mar 30, 2012
    • RAUM · $41.7M to $29.6M
      Nov 21, 2011 to Mar 30, 2012
    Signals
    1 dated events
    • Glen Eagle Advisors, Llc filed its initial SEC registration (Form ADV)
      Feb 26, 2014 · First SEC registration · fact
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026