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
S••••• P•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Mar 29, 2012 · 23 filings
SEC status approved since Jul 17, 2026
RAUM
$111M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$27.7M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$111M as of Jul 29, 2026
Mar 29, 2012$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Jul 29, 2026
Mar 29, 20120 then
Employees (5.A)3 as of Jul 29, 2026
Apr 9, 20131 then
Private funds: no history
RAUM +505% over the last fiscal year+16% a year over threeIARs 0 to 3
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
- RAUM per advisor
- $27.7MderivedRAUM 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
- $55.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$111M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• J•••••• M••••••••• | Spring City, Pa | Dec 11, 2017 | 36 y | 2 |
| K•••••• D••••• E•••• | Spring City, Pa | Dec 2, 2025 | 12 y | 2 |
| T••• A••••• F••• | Spring City, Pa | Apr 3, 2026 | 12 y | 0 |
| C••••••• J••••••• M•••••••••Certified Financial Planner, Chartered Financial Analyst | Spring City, Pa | Aug 19, 2026 | 20 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••••• D••••• E•••• to I••••••••• F•••••••• G••••• L••Nov 29, 2017 · Other
Joined, latest
- K•••••• D••••• E•••• from I••••••••• F•••••••• G••••• L••Dec 2, 2025 · RIA to RIA
- P••• J•••••• M••••••••• from S•••••••• C•••••• M••••••••• I•••Nov 8, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P•••• J•••••• · Ccocontrolsince 02/2016 · 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 |
|---|---|---|---|---|---|
| Spring City, Pa | 4 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 29, 2026 to Sep 14, 2026
- HQ city · to unsetJul 29, 2026 to Sep 14, 2026
- HQ state · to unsetJul 29, 2026 to Sep 14, 2026
- Related adviser · false to unsetJul 29, 2026 to Sep 14, 2026
- Related bank · false to unsetJul 29, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetJul 29, 2026 to Sep 14, 2026
- Related insurance company · false to unsetJul 29, 2026 to Sep 14, 2026
- Succession · false to unsetJul 29, 2026 to Sep 14, 2026
- Accounts · 117 to 2Feb 9, 2018 to Jul 29, 2026
- Advisory activities · 2 to 1Feb 9, 2018 to Jul 29, 2026
- Individual clients · 112.0 to unsetFeb 9, 2018 to Jul 29, 2026
- Employees · 1 to 3Feb 9, 2018 to Jul 29, 2026
- Financial planning clients · 0 to Feb 9, 2018 to Jul 29, 2026
- HQ city · unset to Feb 9, 2018 to Jul 29, 2026
- HQ state · unset to Feb 9, 2018 to Jul 29, 2026
- State-registered IARs · 1 to 3Feb 9, 2018 to Jul 29, 2026
- Discretionary RAUM · $18.0M to $111MFeb 9, 2018 to Jul 29, 2026
- Individual RAUM · 12767047.0 to unsetFeb 9, 2018 to Jul 29, 2026
- Pension RAUM · 1590690.0 to unsetFeb 9, 2018 to Jul 29, 2026
- RAUM · $18.0M to $111MFeb 9, 2018 to Jul 29, 2026
- Other offices · 1 to 0Jan 31, 2018 to Feb 9, 2018
- Accounts · 120 to 117Dec 7, 2017 to Jan 8, 2018
- Individual clients · 116 to 112Dec 7, 2017 to Jan 8, 2018
- State-registered IARs · 0 to 1Dec 7, 2017 to Jan 8, 2018
- Discretionary RAUM · $18.0M to $18.0MDec 7, 2017 to Jan 8, 2018
- Individual RAUM · $12.7M to $12.8MDec 7, 2017 to Jan 8, 2018
- Pension RAUM · $1.6M to $1.6MDec 7, 2017 to Jan 8, 2018
- RAUM · $18.0M to $18.0MDec 7, 2017 to Jan 8, 2018
- Accounts · 117 to 120Mar 29, 2017 to Nov 29, 2017
- Individual clients · unset to 116.0Mar 29, 2017 to Nov 29, 2017
- Other offices · unset to 1.0Mar 29, 2017 to Nov 29, 2017
- Discretionary RAUM · $16.2M to $18.0MMar 29, 2017 to Nov 29, 2017
- Individual RAUM · unset to 12716631.0Mar 29, 2017 to Nov 29, 2017
- Pension RAUM · unset to 1574664.0Mar 29, 2017 to Nov 29, 2017
- RAUM · $16.2M to $18.0MMar 29, 2017 to Nov 29, 2017
- Accounts · 129 to 117Mar 31, 2016 to Mar 29, 2017
- Discretionary RAUM · $18.3M to $16.2MMar 31, 2016 to Mar 29, 2017
- RAUM · $18.3M to $16.2MMar 31, 2016 to Mar 29, 2017
- Accounts · 177 to 129Feb 26, 2016 to Mar 31, 2016
- Advisory activities · 3 to 2Feb 26, 2016 to Mar 31, 2016
Signals
No event on the tape.
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•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (484)932-8560reportedpublic record, Form ADV, Sep 14, 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
- $27.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026