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
H•••••••• F•••••••• S•••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since Feb 12, 2004
RAUM
$366M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.2%
$4.3M individuals and HNW
Advisors
19
registered through the firm on IAPD
RAUM per advisor
$19.3M
derived; firm RAUM over IAPD count
Employees
45
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$366M as of Mar 16, 2026
Mar 28, 2012$260M then
HNW client RAUM$0 as of Mar 16, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)16 as of Mar 16, 2026
Mar 28, 20120 then
Employees (5.A)45 as of Mar 16, 2026
Mar 20, 201340 then
Private funds1 as of Mar 8, 2023
Mar 29, 20181 then
RAUM +7.2% over the last fiscal year-1.4% a year over threeIARs 16 to 16
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
- RAUM per advisor
- $19.3MderivedRAUM 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
- $14.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 19.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$321M91%
- State and municipal entities$20.5M5.8%
- Individuals$4.3M1.2%
- Corporations and businesses$4.1M1.1%
- Charitable organizations$3.7M1.1%
- Individual clients
- n/areported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $12.9M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.01 fund_share=0.88 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
19 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• B•••• S•••• | Radnor, Pa | Feb 15, 2007 | 35 y | 1 |
| G••••• W••••••••• C•••••• | Radnor, Pa | Feb 15, 2007 | 43 y | 2 |
| D•••• B•••• | Radnor, Pa | Feb 15, 2007 | 22 y | 1 |
| J••••• J•••• M••••••••• | Radnor, Pa | Feb 15, 2007 | 34 y | 1 |
| B••••• H••••• C•••••• W••••••••• | Radnor, Pa | Feb 15, 2007 | 34 y | 1 |
| J••• M•••••• D•••••••• | Radnor, Pa | Feb 16, 2007 | 33 y | 0 |
| J••• H••••• D••••••••Chartered Financial Analyst | Radnor, Pa | Sep 18, 2008 | 45 y | 2 |
| T•••••• A••••• H••••Chartered Financial Analyst | Radnor, Pa | Feb 11, 2010 | 24 y | 1 |
| L•••• C•••••••• H••••• | Radnor, Pa | Sep 2, 2011 | 17 y | 0 |
| S••• D• H•••••• | Radnor, Pa | Sep 2, 2011 | 24 y | 0 |
| K••••••• S• S•••••••• | Radnor, Pa | Oct 20, 2014 | 20 y | 0 |
| C•••••••• E•••••••• W•••••Certified Financial Planner | Radnor, Pa | Sep 21, 2015 | 30 y | 4 |
| T••••• K•••• E•• | Radnor, Pa | Jan 3, 2017 | 33 y | 0 |
| D••••• P•••••• G•••••••Certified Financial Planner | Radnor, Pa | Mar 1, 2022 | 16 y | 1 |
| J•••• R••• S•••••Certified Financial Planner | Radnor, Pa | Feb 27, 2025 | 16 y | 5 |
| D•••• T••••• M••••Certified Financial Planner, Chartered Financial Analyst | Radnor, Pa | May 8, 2025 | 19 y | 0 |
| J••••• A•••••••• L••••Chartered Financial Consultant | Radnor, Pa | Jan 5, 2026 | 14 y | 0 |
| J••• N•••••• D•••••Certified Financial Planner | Radnor, Pa | Feb 24, 2026 | 16 y | 1 |
| M•••••• A•• P•••••••Certified Financial Planner | Radnor, Pa | May 26, 2026 | 16 y | 3 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.3% of current headcount2 left over 36 months
Left, latest
- D•••• C••••••••• P•••••• to B•••••• I••••••••• M••••••••• L••Feb 24, 2026 · Other
- C••••••••• H•• N••••• to P••••••••Nov 27, 2023 · Other
- S••• A••••• T••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 3, 2020 · Other
- E••• M•••••• H••••••••• to C••• P•••••••• L•••Dec 28, 2015 · Other
- S••• A••••• T••••• to H••••• F•••••••• A•••••••• I•••Jan 23, 2015 · Other
- A•••••••• J••• H••• to W•••• F•••• A•••••••Dec 31, 2014 · Other
- J•••• D•••••• P•••• to G••••••• I••••••••• M••••••••• L•Nov 30, 2009 · Other
- J••••••• D•••••• S•••• to H•••••••• I••••••••• M••••••••• I•••Aug 21, 2008 · Other
- J••• L•••• B•••• to D•••••• • T•••••• L•••••Aug 18, 2008 · Other
- C••••••••• P•••••• H••• to C•••••••• G••••• M•••••• I•••Feb 7, 2006 · Other
- M•••••• A•••••• G•••••••• to P••••••••• P••••••• C•••••• M••••••••• L••Feb 7, 2006 · Other
- B•••• A• C•••••••• to U•• F•••••••• S••••••• I•••Sep 28, 2005 · Other
Joined, latest
- M•••••• A•• P••••••• from A••••••• W••••• M••••••••• L••May 26, 2026 · Other
- J••• N•••••• D••••• from H••••• • C••• L••Feb 24, 2026 · Other
- J•••• R••• S••••• from R••••••••• A•••••••Feb 27, 2025 · Other
- D••••• P•••••• G••••••• from H••••• • C••• L••Mar 1, 2022 · Other
- C••••••••• H•• N••••• from M•••• W••••• P•••••••• L••Sep 23, 2021 · Other
- S••• A••••• T••••• from W•••• L••••••••• I••••••••• M••••••••• I•••Apr 24, 2017 · Other
- C•••••••• E•••••••• W••••• from L••••• B••••••• I•••Sep 21, 2015 · Other
- A•••••••• J••• H••• from E•••••••• A•••••••• L••Aug 11, 2014 · Other
- T•••••• A••••• H•••• from H•••••••• I••••••••• M••••••••• I•••Feb 11, 2010 · Other
- J••• H••••• D•••••••• from 1••• I••••••••• A•••••••••Sep 18, 2008 · Other
- H•••• B•••• S•••• from H•••••••• I••••••••• M••••••••• I•••Feb 15, 2007 · Other
- B••••• H••••• C•••••• W••••••••• from H•••••••• I••••••••• M••••••••• I•••Feb 15, 2007 · Other
- J••••• J•••• M••••••••• from H•••••••• I••••••••• M••••••••• I•••Feb 15, 2007 · Other
- D•••• B•••• from H•••••••• I••••••••• M••••••••• I•••Feb 15, 2007 · Other
- J•••• D•••••• P•••• from H•••••••• I••••••••• M••••••••• I•••Feb 15, 2007 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• P•••••••• L••• | Other Private Fund | $47.1M | 28 | Aug 14, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• K•••• · President & Directorcontrolsince 02/2023 · owns less than 5%
- C••••••• G•••••• W••••••••• · Director And Indirect Ownercontrolsince 10/2003 · owns less than 5%
- M••••••••• J•••••• J•••• · Chairman & Chief Executive Officercontrolsince 08/2006 · owns less than 5%
- W••••••••• B•••••• H••••• C•••••• · Directorcontrolsince 05/2008 · owns less than 5%
- C••••••• G•••••• W••••••••• · Ownercontrolsince 01/2007 · owns 75% or more of D••••• M••••• • C••
- H••••• T••••••• A••••• · Chief Investment Officersince 01/2017 · owns less than 5%
- N•••• M••••••••• V• · Chief Compliance Officersince 08/2006 · owns less than 5%
- R•••••• P•••• S••••• · Chief Financial Officer, Treasurer, & Directorsince 05/2008 · owns less than 5%
- S••••• H••••• B•••• · Head Of Investment Strategiessince 02/2007 · owns less than 5%
- S••••••• J•••• S•••••• · Chief Operating Officer, Secretary & Directorsince 07/2016 · owns less than 5%
Entity owners
- D••••• M••••• • C•• · Parent Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- D••••• M••••• • C••investment adviseryRAUM $607M
- H•••••••• T•••• S••••••••• I•••broker-dealern
- T•• H•••••••• T•••• C••••••n
Advisers that list H•••••••• F•••••••• S•••••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Radnor, Pa · principal | 19 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 16, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-12-18, no on the filing of 2026-03-16peers: asset managers, $100M to $500M (1,567)
What changed
consecutive filings, newest first
- Accounts · 27 to 25Dec 18, 2025 to Mar 16, 2026
- Advisory employees · 26 to 25Dec 18, 2025 to Mar 16, 2026
- BD registered reps · 20 to 0Dec 18, 2025 to Mar 16, 2026
- Employees · 44 to 45Dec 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $342M to $366MDec 18, 2025 to Mar 16, 2026
- Individual RAUM · $3.9M to $4.3MDec 18, 2025 to Mar 16, 2026
- RAUM · $342M to $366MDec 18, 2025 to Mar 16, 2026
- Related broker-dealer · true to falseDec 18, 2025 to Mar 16, 2026
- Wrap assets (manager) · $17.4M to $12.9MDec 18, 2025 to Mar 16, 2026
- Accounts · 30 to 27Mar 26, 2024 to Mar 17, 2025
- Advisory employees · 25 to 26Mar 26, 2024 to Mar 17, 2025
- Advisory activities · 4 to 3Mar 26, 2024 to Mar 17, 2025
- BD registered reps · 21 to 20Mar 26, 2024 to Mar 17, 2025
- Employees · 45 to 44Mar 26, 2024 to Mar 17, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 17, 2025
- Discretionary RAUM · $347M to $342MMar 26, 2024 to Mar 17, 2025
- Individual RAUM · $2.2M to $3.9MMar 26, 2024 to Mar 17, 2025
- RAUM · $347M to $342MMar 26, 2024 to Mar 17, 2025
- Wrap assets (manager) · $17.5M to $17.4MMar 26, 2024 to Mar 17, 2025
- Accounts · 37 to 30Apr 19, 2023 to Mar 26, 2024
- Advisory activities · 5 to 4Apr 19, 2023 to Mar 26, 2024
- BD registered reps · 22 to 21Apr 19, 2023 to Mar 26, 2024
- Pooled vehicle clients · 1 to 0Apr 19, 2023 to Mar 26, 2024
- Assets in custody · 47150000.0 to unsetApr 19, 2023 to Mar 26, 2024
- Custody of client assets · true to falseApr 19, 2023 to Mar 26, 2024
- Employees · 43 to 45Apr 19, 2023 to Mar 26, 2024
- State-registered IARs · 18 to 16Apr 19, 2023 to Mar 26, 2024
- Private funds · 1 to unsetApr 19, 2023 to Mar 26, 2024
- Discretionary RAUM · $382M to $347MApr 19, 2023 to Mar 26, 2024
- Individual RAUM · $359,000 to $2.2MApr 19, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · 47150000.0 to unsetApr 19, 2023 to Mar 26, 2024
- RAUM · $382M to $347MApr 19, 2023 to Mar 26, 2024
- Wrap assets (manager) · $19.9M to $17.5MApr 19, 2023 to Mar 26, 2024
- Accounts · 81 to 37May 24, 2022 to Mar 8, 2023
- Advisory employees · 23 to 25May 24, 2022 to Mar 8, 2023
- BD registered reps · 23 to 22May 24, 2022 to Mar 8, 2023
- Charity clients · unset to 6.0May 24, 2022 to Mar 8, 2023
- Individual clients · 12.0 to unsetMay 24, 2022 to Mar 8, 2023
- Assets in custody · $51.9M to $47.1MMay 24, 2022 to Mar 8, 2023
- State-registered IARs · 17 to 18May 24, 2022 to Mar 8, 2023
Signals
3 dated events
- D•••• C••••••••• P•••••• left H•••••••• F•••••••• S•••••••• I••• for B•••••• I••••••••• M••••••••• L•• (registered 2026-03-20)Feb 24, 2026 · Advisor changed firm · fact
- C••••••••• H•• N••••• left H•••••••• F•••••••• S•••••••• I••• for Pathstone (registered 2025-06-03)Nov 27, 2023 · Advisor changed firm · fact
- K•••• A•••••• (President & Director) appeared on Schedule A of H•••••••• F•••••••• S•••••••• I•••Mar 8, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- H•••••••• F•••••••• S•••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 610-995-8700reportedpublic record, Form ADV, Mar 16, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $19.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026