DFX Intelligence
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B•••• D••••• • A••••••••• I•••
Independent wealth managerSEC-registered· Blue Bell, Pennsylvania
Independent wealth manager, based in Blue Bell, Pennsylvania, reporting $403M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $403M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +0.4%
- Private clients
- 85% of RAUM, $341M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 135729 · SEC 801-66225 · 27 filingsShowHide
CRD 135729SEC 801-66225First filing on the tape Mar 9, 2012, latest Mar 27, 2026SEC status approved since Feb 7, 2006IAPD
RAUM
$403M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
85%
$341M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$202M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$403M as of Mar 27, 2026
Mar 9, 2012$103M then
HNW client RAUM$326M as of Mar 27, 2026
Mar 21, 2018$163M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 9, 20120 then
Employees (5.A)4 as of Mar 27, 2026
Mar 1, 20136 then
Private funds: no history
RAUM +0.4% over the last fiscal year+6.9% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Mar 27, 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
- $202MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$326M81%
- Charitable organizations$59.2M15%
- Individuals$14.8M3.7%
- Pension and profit-sharing plans$2.7M0.7%
- Individual clients
- 73reported
- HNW clients
- 136reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 220reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• T••••• B••••Chartered Financial Analyst | Blue Bell, Pa | Jun 21, 2005 | 41 y | 0 |
| A••••• L•••• D••••• | Blue Bell, Pa | Oct 19, 2005 | 41 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• E•••••• T••••• · Chairmancontrolsince 05/2005 · owns 25% to 50%
- D•••••• A•••••• L•••• · President & Chief Compliance Officercontrolsince 10/2005 · owns 25% to 50%
- B•••••••• F••••••••• A••••• · Vp & Secretarysince 11/2013 · owns less than 5%
- H••••••• K•••••••• D••••••• · Vp & Treasurersince 10/2005 · 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 |
|---|---|---|---|---|---|
| Blue Bell, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 222 to 220Oct 8, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3Oct 8, 2025 to Mar 27, 2026
- BD registered reps · 6 to 4Oct 8, 2025 to Mar 27, 2026
- HNW clients · 135 to 136Oct 8, 2025 to Mar 27, 2026
- Individual clients · 76 to 73Oct 8, 2025 to Mar 27, 2026
- Employees · 6 to 4Oct 8, 2025 to Mar 27, 2026
- State-registered IARs · 2 to 1Oct 8, 2025 to Mar 27, 2026
- Discretionary RAUM · $350M to $366MOct 8, 2025 to Mar 27, 2026
- HNW RAUM · $329M to $326MOct 8, 2025 to Mar 27, 2026
- Individual RAUM · $15.3M to $14.8MOct 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $51.3M to $37.3MOct 8, 2025 to Mar 27, 2026
- Pension RAUM · $2.6M to $2.7MOct 8, 2025 to Mar 27, 2026
- RAUM · $401M to $403MOct 8, 2025 to Mar 27, 2026
- Accounts · 205 to 222Mar 25, 2024 to Mar 26, 2025
- HNW clients · 125 to 135Mar 25, 2024 to Mar 26, 2025
- Individual clients · 69 to 76Mar 25, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 26, 2025
- State-registered IARs · 3 to 2Mar 25, 2024 to Mar 26, 2025
- Discretionary RAUM · $318M to $350MMar 25, 2024 to Mar 26, 2025
- HNW RAUM · $294M to $329MMar 25, 2024 to Mar 26, 2025
- Individual RAUM · $12.8M to $15.3MMar 25, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $45.9M to $51.3MMar 25, 2024 to Mar 26, 2025
- Pension RAUM · $7.4M to $2.6MMar 25, 2024 to Mar 26, 2025
- RAUM · $364M to $401MMar 25, 2024 to Mar 26, 2025
- Accounts · 202 to 205Sep 12, 2023 to Mar 25, 2024
- Corporate clients · 0.0 to unsetSep 12, 2023 to Mar 25, 2024
- HNW clients · 121 to 125Sep 12, 2023 to Mar 25, 2024
- Individual clients · 70 to 69Sep 12, 2023 to Mar 25, 2024
- Pension plan clients · 2.0 to unsetSep 12, 2023 to Mar 25, 2024
- Pooled vehicle clients · 0.0 to unsetSep 12, 2023 to Mar 25, 2024
- Discretionary RAUM · $281M to $318MSep 12, 2023 to Mar 25, 2024
- HNW RAUM · $265M to $294MSep 12, 2023 to Mar 25, 2024
- Individual RAUM · $12.5M to $12.8MSep 12, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $48.8M to $45.9MSep 12, 2023 to Mar 25, 2024
- Pension RAUM · $6.6M to $7.4MSep 12, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · 0.0 to unsetSep 12, 2023 to Mar 25, 2024
- RAUM · $330M to $364MSep 12, 2023 to Mar 25, 2024
- Accounts · 187 to 202Dec 5, 2022 to Mar 29, 2023
- HNW clients · 114 to 121Dec 5, 2022 to Mar 29, 2023
- Individual clients · 62 to 70Dec 5, 2022 to Mar 29, 2023
Signals
4 dated events
- ••• LockedMar 27, 2026 · ria principal change · derived
- ••• LockedMar 27, 2026 · ria ownership band change · fact
- ••• LockedMar 27, 2026 · ria ownership band change · fact
- ••• LockedMar 27, 2026 · Control person left · inference
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $202Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026