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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Former SEC-registered adviser
B••••••••• I••••••••• C•••••••••
Legal name B••••••••• I••••••••• C••••••••• I•••
Latest filing Mar 21, 2025
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Feb 21, 2003
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM: $0
HNW client RAUM$0 as of Mar 21, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 21, 2025
Mar 29, 20120 then
Employees (5.A)8 as of Mar 21, 2025
Mar 26, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2025; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $0derivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- pension consulting, 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)
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
- 0reported
- HNW clients
- 7reported
- Pension plan clients
- 12reported
- Charitable clients
- 16reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- J•••• E••••• K••• to O•••••• C•••••• M••••••••• L••Dec 22, 2025 · Other
- D••••• K•••• D••• to O•••••• C•••••• M••••••••• L••Dec 3, 2025 · Other
- P•••••• W•••••• F••••• to O•••••• C•••••• M••••••••• L••Dec 3, 2025 · Other
Joined, latest
- P•••••• W•••••• F••••• from S•••••••• D•••• W••••• M••••••••• A•••••••• L•Mar 8, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••••• C•••••• M••••••••• L••Dec 3, 2025 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• P••••••• W•••••• · CFA; Caia; Secretary; Treasurer; Directorcontrolsince 03/2019 · owns 50% to 75%
- K•••• J••••• E••••• · CFA; Chairman Of The Board; Directorcontrolsince 12/2002 · owns less than 5%
- B•••••• E•••• J••• · Chief Compliance Officersince 04/2004 · 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 | 0 | 0 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · unset to 0.0Mar 25, 2024 to Mar 21, 2025
- Individual RAUM · 0.0 to unsetMar 25, 2024 to Mar 21, 2025
- Non-discretionary RAUM · unset to 0.0Mar 25, 2024 to Mar 21, 2025
- RAUM · unset to 0.0Mar 25, 2024 to Mar 21, 2025
- Pension plan clients · 13 to 12Mar 22, 2022 to Mar 23, 2023
- Pension plan clients · 14 to 13Mar 22, 2021 to Mar 22, 2022
- Charity clients · 17 to 16Jun 8, 2020 to Mar 22, 2021
- Pension plan clients · 15 to 14Jun 8, 2020 to Mar 22, 2021
- Other offices · 0 to 1Jun 8, 2020 to Mar 22, 2021
- HNW clients · 6 to 7Aug 16, 2019 to Mar 30, 2020
- Pension plan clients · 14 to 15Aug 16, 2019 to Mar 30, 2020
- State-registered IARs · 0 to 3Aug 16, 2019 to Mar 30, 2020
- Charity clients · 18 to 17Aug 10, 2018 to Mar 27, 2019
- HNW clients · unset to 6.0Aug 10, 2018 to Mar 27, 2019
- Individual clients · unset to 0.0Aug 10, 2018 to Mar 27, 2019
- Pension plan clients · 11 to 14Aug 10, 2018 to Mar 27, 2019
- Charity clients · unset to 18.0Aug 31, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Pension plan clients · unset to 11.0Aug 31, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Aug 31, 2017 to Mar 29, 2018
- Employees · 7 to 8Mar 28, 2017 to Aug 31, 2017
- Advisory employees · unset to 4.0Aug 21, 2012 to Nov 21, 2012
- Employees · unset to 7.0Aug 21, 2012 to Nov 21, 2012
Signals
5 dated events
- B••••••••• I••••••••• C••••••••• no longer on the SEC adviser roster (last listed 2025-12-20)Jan 2, 2026 · Left the SEC roster · derived
- J•••• E••••• K••• left B••••••••• I••••••••• C••••••••• for O•••••• C•••••• M••••••••• L•• (registered 2025-10-14)Dec 22, 2025 · Advisor changed firm · fact
- D••••• K•••• D••• left B••••••••• I••••••••• C••••••••• for O•••••• C•••••• M••••••••• L•• (registered 2025-10-14)Dec 3, 2025 · Advisor changed firm · fact
- P•••••• W•••••• F••••• left B••••••••• I••••••••• C••••••••• for O•••••• C•••••• M••••••••• L•• (registered 2025-10-14)Dec 3, 2025 · Advisor changed firm · fact
- 2 advisors left B••••••••• I••••••••• C••••••••• (Pittsburgh, PA) for O•••••• C•••••• M••••••••• L•• on the same dayDec 3, 2025 · Team lift-out · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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