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•••••••• I••••••••• A•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape Mar 6, 2012 · 25 filings
SEC status approved since Jun 19, 2003
RAUM
$886M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
71%
$631M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$177M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$886M as of Feb 26, 2026
Mar 6, 2012$217M then
HNW client RAUM$573M as of Feb 26, 2026
Mar 29, 2018$161M then
State-registered IARs (5.B.3)4 as of Feb 26, 2026
Feb 21, 20132 then
Employees (5.A)8 as of Feb 26, 2026
Feb 21, 20134 then
Private funds: no history
RAUM +9.5% over the last fiscal year+16% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $177MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $149M, 60 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$573M65%
- Charitable organizations$216M24%
- Individuals$58.0M6.5%
- Pension and profit-sharing plans$32.8M3.7%
- Corporations and businesses$6.1M0.7%
- Individual clients
- 141reported
- HNW clients
- 74reported
- Pension plan clients
- 5reported
- Charitable clients
- 13reported
- Accounts
- 639reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $149M for 60 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• R• W•••••• | Ligonier, Pa | Sep 5, 2003 | 23 y | 0 |
| C•••• J•••• | Ligonier, Pa | Jul 13, 2012 | 18 y | 1 |
| N••• M•••••• A•••• | Ligonier, Pa | Oct 29, 2020 | 11 y | 0 |
| C••••• M••••••••• | Ligonier, Pa | Oct 23, 2025 | 12 y | 0 |
| J•••• D••••• | Ligonier, Pa | Feb 6, 2026 | 18 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
none on the tape
Joined, latest
- C•••• J•••• from W•• I••••••••• L••Jul 13, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• C•••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- W••••••• P••••••• R• · Presidentcontrolsince 05/2003 · owns less than 5%
Entity owners
- T•• P•••••• R• W•••••• R•••••••• T••••• D•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Ligonier, Pa · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 579 to 639Nov 18, 2025 to Feb 26, 2026
- Advisory employees · 3 to 4Nov 18, 2025 to Feb 26, 2026
- HNW clients · 69 to 74Nov 18, 2025 to Feb 26, 2026
- Individual clients · 127 to 141Nov 18, 2025 to Feb 26, 2026
- Assets in custody · $133M to $149MNov 18, 2025 to Feb 26, 2026
- Employees · 6 to 8Nov 18, 2025 to Feb 26, 2026
- State-registered IARs · 3 to 4Nov 18, 2025 to Feb 26, 2026
- Discretionary RAUM · $781M to $855MNov 18, 2025 to Feb 26, 2026
- HNW RAUM · $477M to $573MNov 18, 2025 to Feb 26, 2026
- Individual RAUM · $49.2M to $58.0MNov 18, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $28.1M to $31.2MNov 18, 2025 to Feb 26, 2026
- Pension RAUM · $29.6M to $32.8MNov 18, 2025 to Feb 26, 2026
- RAUM · $809M to $886MNov 18, 2025 to Feb 26, 2026
- Accounts · 542 to 579Feb 29, 2024 to Feb 24, 2025
- Charity clients · 11 to 13Feb 29, 2024 to Feb 24, 2025
- Corporate clients · 2 to 3Feb 29, 2024 to Feb 24, 2025
- HNW clients · 61 to 69Feb 29, 2024 to Feb 24, 2025
- Individual clients · 120 to 127Feb 29, 2024 to Feb 24, 2025
- Pension plan clients · 4 to 5Feb 29, 2024 to Feb 24, 2025
- Assets in custody · $60.8M to $133MFeb 29, 2024 to Feb 24, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Feb 24, 2025
- Discretionary RAUM · $677M to $781MFeb 29, 2024 to Feb 24, 2025
- HNW RAUM · $388M to $477MFeb 29, 2024 to Feb 24, 2025
- Individual RAUM · $43.8M to $49.2MFeb 29, 2024 to Feb 24, 2025
- Non-discretionary RAUM · $23.4M to $28.1MFeb 29, 2024 to Feb 24, 2025
- Pension RAUM · $24.5M to $29.6MFeb 29, 2024 to Feb 24, 2025
- RAUM · $701M to $809MFeb 29, 2024 to Feb 24, 2025
- Accounts · 523 to 542Mar 13, 2023 to Feb 29, 2024
- Charity clients · 10 to 11Mar 13, 2023 to Feb 29, 2024
- Corporate clients · 1 to 2Mar 13, 2023 to Feb 29, 2024
- HNW clients · 55 to 61Mar 13, 2023 to Feb 29, 2024
- Individual clients · 122 to 120Mar 13, 2023 to Feb 29, 2024
- Pension plan clients · 5 to 4Mar 13, 2023 to Feb 29, 2024
- Assets in custody · $54.8M to $60.8MMar 13, 2023 to Feb 29, 2024
- Employees · 5 to 6Mar 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $550M to $677MMar 13, 2023 to Feb 29, 2024
- HNW RAUM · $292M to $388MMar 13, 2023 to Feb 29, 2024
- Individual RAUM · $44.6M to $43.8MMar 13, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $24.4M to $23.4MMar 13, 2023 to Feb 29, 2024
- Pension RAUM · $24.9M to $24.5MMar 13, 2023 to Feb 29, 2024
Signals
3 dated events
- C•••••••• I••••••••• A•••••••• I••• reported RAUM $681.7M, up 35% from $506.6M (2021-03-17 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- E. S•••• R•••••••• (Chief Compliance Officer) no longer on Schedule A of C•••••••• I••••••••• A•••••••• I••• (listed 2019-03-14, absent 2019-10-16)Oct 16, 2019 · Control person left · inference
- C•••• J•••• (Chief Compliance Officer) appeared on Schedule A of C•••••••• I••••••••• A•••••••• I•••Oct 16, 2019 · Control person joined · 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 email
- c••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- h••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- j•••••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- n•••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-238-0148reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 724-238-0151reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••••INVESTMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-238-0151reportedpublic record, Form ADV, Feb 26, 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
- $177Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026