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

S•••• W••••• A••••••• G••••• L••

STATE REGISTEREDMechanicsburg, PennsylvaniaCRD 130631websiteIAPD
Latest filing Apr 27, 2026
First filing on the tape Apr 27, 2026 · 1 filings
RAUM
$38.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$32.3M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Apr 27, 2026; every figure names its basis
RAUM per advisor
$12.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
42derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$139,963derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$861,800, 8 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
  • Individuals$23.3M61%
  • High-net-worth individuals$9.0M24%
  • Other investment advisers$5.6M15%
  • Charitable organizations$190,0000.5%
Individual clients
121reported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
272reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$861,800 for 8 clientsreported
Compensation
% of AUM, fixedreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• A•••• S••••Mechanicsburg, PaJul 16, 201228 y3
P••• C•••••• V••••••Mechanicsburg, PaJul 30, 201246 y2
D•••• M•••••• R•••Mechanicsburg, PaDec 1, 202512 y0
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
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
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Mechanicsburg, Pa · principal3121
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    4 dated events
    • J•••• E••••• B••••• left S•••• W••••• A••••••• G••••• L•• for B••••• W••••• M••••••••• G•••• (registered 2026-03-04)
      Apr 17, 2026 · Advisor changed firm · fact
    • M••• E••••• B••••• left S•••• W••••• A••••••• G••••• L•• for B••••• W••••• M••••••••• G•••• (registered 2026-03-04)
      Apr 17, 2026 · Advisor changed firm · fact
    • 2 advisors left S•••• W••••• A••••••• G••••• L•• (Mechanicsburg, PA) for B••••• W••••• M••••••••• G•••• on the same day
      Apr 17, 2026 · Team lift-out · derived
    • D•••• J•••• H••••• left S•••• W••••• A••••••• G••••• L•• for F•••• L•••• W••••• (registered 2023-04-21)
      Mar 2, 2023 · Advisor changed firm · 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
    Website
    S••••WEALTHADVISORY.COMreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    717-761-2040reportedpublic record, Form ADV, Apr 27, 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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026