DFX Intelligence
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SEC-registered adviser
S••••• G• B••• A•• A••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Nov 11, 2021 · 8 filings
SEC status approved since Dec 13, 2021
RAUM
$180M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$90.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$180M as of Mar 6, 2026
Mar 15, 2022$131M then
HNW client RAUM$173M as of Mar 6, 2026
Mar 15, 2022$125M then
State-registered IARs (5.B.3)2 as of Mar 6, 2026
Mar 15, 20222 then
Employees (5.A)3 as of Mar 6, 2026
Mar 15, 20223 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $90.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $449,470derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $38.0M, 37 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M96%
- Individuals$7.4M4.1%
- Individual clients
- 19reported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.0M for 37 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• G• B••• | Swarthmore, Pa | May 18, 2004 | 36 y | 1 |
| M••• Q•••• B•••••• | Swarthmore, Pa | Jan 3, 2011 | 22 y | 1 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• S•••••• G• · Member, Chief Compliance Officercontrolsince 01/2004 · owns 75% or more
- B••••••• M•••• Q•••• · Membersince 01/2004 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Swarthmore, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 368 to 401Mar 27, 2025 to Mar 6, 2026
- HNW clients · 47 to 51Mar 27, 2025 to Mar 6, 2026
- Individual clients · 10 to 19Mar 27, 2025 to Mar 6, 2026
- Assets in custody · $34.3M to $38.0MMar 27, 2025 to Mar 6, 2026
- Discretionary RAUM · $65.3M to $74.3MMar 27, 2025 to Mar 6, 2026
- HNW RAUM · $148M to $173MMar 27, 2025 to Mar 6, 2026
- Individual RAUM · $4.8M to $7.4MMar 27, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $87.2M to $106MMar 27, 2025 to Mar 6, 2026
- RAUM · $152M to $180MMar 27, 2025 to Mar 6, 2026
- Accounts · 325 to 368Mar 29, 2024 to Mar 27, 2025
- HNW clients · 45 to 47Mar 29, 2024 to Mar 27, 2025
- Individual clients · 14 to 10Mar 29, 2024 to Mar 27, 2025
- Assets in custody · $4.4M to $34.3MMar 29, 2024 to Mar 27, 2025
- Financial planning clients · 26-50 to 26-50Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $91.1M to $65.3MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $133M to $148MMar 29, 2024 to Mar 27, 2025
- Individual RAUM · $4.6M to $4.8MMar 29, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $46.3M to $87.2MMar 29, 2024 to Mar 27, 2025
- RAUM · $137M to $152MMar 29, 2024 to Mar 27, 2025
- Accounts · 330 to 325Mar 24, 2023 to Mar 29, 2024
- HNW clients · 42 to 45Mar 24, 2023 to Mar 29, 2024
- Individual clients · 18 to 14Mar 24, 2023 to Mar 29, 2024
- Assets in custody · unset to 4385095.0Mar 24, 2023 to Mar 29, 2024
- Custody of client assets · false to trueMar 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $26.3M to $91.1MMar 24, 2023 to Mar 29, 2024
- HNW RAUM · $115M to $133MMar 24, 2023 to Mar 29, 2024
- Individual RAUM · $7.9M to $4.6MMar 24, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $96.9M to $46.3MMar 24, 2023 to Mar 29, 2024
- RAUM · $123M to $137MMar 24, 2023 to Mar 29, 2024
- Accounts · 319 to 330Oct 24, 2022 to Mar 24, 2023
- HNW clients · 41 to 42Oct 24, 2022 to Mar 24, 2023
- Individual clients · 14 to 18Oct 24, 2022 to Mar 24, 2023
- Discretionary RAUM · $0 to $26.3MOct 24, 2022 to Mar 24, 2023
- HNW RAUM · $125M to $115MOct 24, 2022 to Mar 24, 2023
- Individual RAUM · $6.6M to $7.9MOct 24, 2022 to Mar 24, 2023
- Non-discretionary RAUM · $131M to $96.9MOct 24, 2022 to Mar 24, 2023
- RAUM · $131M to $123MOct 24, 2022 to Mar 24, 2023
- Accounts · 306 to 319Nov 29, 2021 to Mar 15, 2022
- HNW clients · 40 to 41Nov 29, 2021 to Mar 15, 2022
- Individual clients · 13 to 14Nov 29, 2021 to Mar 15, 2022
Signals
1 dated events
- ••• LockedNov 11, 2021 · First SEC registration · 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•••••GB•••.COMreportedpublic record, Form ADV, Mar 6, 2026
- Principal office phone
- 610-328-7725reportedpublic record, Form ADV, Mar 6, 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
- $90.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026