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
B••••• I••••••••• M••••••••• L••
Latest filing Feb 2, 2026
First filing on the tape Mar 16, 2012 · 33 filings
SEC status approved since Jun 29, 2006
RAUM
$985M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$977M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$164M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$985M as of Feb 2, 2026
Mar 16, 2012$174M then
HNW client RAUM$968M as of Feb 2, 2026
Feb 12, 2018$491M then
State-registered IARs (5.B.3)6 as of Feb 2, 2026
Mar 16, 20120 then
Employees (5.A)7 as of Feb 2, 2026
Mar 15, 20133 then
Private funds: no history
RAUM -1.6% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Feb 2, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $164MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.3MderivedHNW RAUM over HNW clients
- Average account
- $3.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $136M, 30 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)
- 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
- High-net-worth individuals$968M99%
- Individuals$9.1M0.9%
- Individual clients
- 20reported
- HNW clients
- 73reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 263reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $136M for 30 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M••••••••• F•••• | West Conshohocken, Pa | Nov 2, 2016 | 30 y | 1 |
| P•••• C••••••• S••••••• | W. Conshohocken, Pa | Jan 10, 2018 | 13 y | 0 |
| J•••• M••••• T••••• | W. Conshohocken, Pa | Mar 5, 2020 | 41 y | 1 |
| J••• B••••• R••••Chartered Financial Analyst | W. Conshohocken, Pa | Oct 9, 2020 | 44 y | 0 |
| H•••• B••••• R••••Chartered Financial Analyst | W. Conshohocken, Pa | Oct 19, 2020 | 20 y | 0 |
| M•••••• D••••• J••••Chartered Financial Analyst | W. Conshohocken, Pa | Jun 20, 2024 | 27 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
- M•••••• D••••• J•••• from T•••••• C••••••• L••Jun 20, 2024 · Other
- J•••• M••••• T••••• from S•••••• N••••••• • C••••••• I•••••••••Mar 5, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• M••••••••• F•••• from H••••• • C••• L••Nov 2, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• J••••• M••••••••• · Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- R••••• H••••• B••••• · Co- Founder/Membercontrolsince 06/2006 · owns 25% to 50%
- R••••• J•••• B••••• · Managing Member / Presidentcontrolsince 05/2006 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| W Conshohocken, Pa | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 273 to 263Feb 12, 2025 to Feb 2, 2026
- Charity clients · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- Corporate clients · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- HNW clients · 71 to 73Feb 12, 2025 to Feb 2, 2026
- Individual clients · 25 to 20Feb 12, 2025 to Feb 2, 2026
- Pension plan clients · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- Pooled vehicle clients · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- Assets in custody · $154M to $136MFeb 12, 2025 to Feb 2, 2026
- Discretionary RAUM · $1.0B to $985MFeb 12, 2025 to Feb 2, 2026
- HNW RAUM · $937M to $968MFeb 12, 2025 to Feb 2, 2026
- Individual RAUM · $13.4M to $9.1MFeb 12, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $0 to $57,787Feb 12, 2025 to Feb 2, 2026
- Pension RAUM · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- Pooled vehicle RAUM · unset to 0.0Feb 12, 2025 to Feb 2, 2026
- RAUM · $1.0B to $985MFeb 12, 2025 to Feb 2, 2026
- Accounts · 287 to 273Feb 9, 2024 to Feb 12, 2025
- Advisory employees · 3 to 4Feb 9, 2024 to Feb 12, 2025
- HNW clients · 62 to 71Feb 9, 2024 to Feb 12, 2025
- Individual clients · 37 to 25Feb 9, 2024 to Feb 12, 2025
- Assets in custody · $176M to $154MFeb 9, 2024 to Feb 12, 2025
- Employees · 6 to 7Feb 9, 2024 to Feb 12, 2025
- Financial planning clients · unset to Feb 9, 2024 to Feb 12, 2025
- State-registered IARs · 5 to 6Feb 9, 2024 to Feb 12, 2025
- Discretionary RAUM · $846M to $1.0BFeb 9, 2024 to Feb 12, 2025
- HNW RAUM · $755M to $937MFeb 9, 2024 to Feb 12, 2025
- Individual RAUM · $20.5M to $13.4MFeb 9, 2024 to Feb 12, 2025
- RAUM · $846M to $1.0BFeb 9, 2024 to Feb 12, 2025
- Accounts · 299 to 287Jan 27, 2023 to Feb 9, 2024
- HNW clients · 85 to 62Jan 27, 2023 to Feb 9, 2024
- Individual clients · 16 to 37Jan 27, 2023 to Feb 9, 2024
- Assets in custody · $129M to $176MJan 27, 2023 to Feb 9, 2024
- Discretionary RAUM · $568M to $846MJan 27, 2023 to Feb 9, 2024
- HNW RAUM · $544M to $755MJan 27, 2023 to Feb 9, 2024
- Individual RAUM · $4.4M to $20.5MJan 27, 2023 to Feb 9, 2024
- RAUM · $568M to $846MJan 27, 2023 to Feb 9, 2024
- Accounts · 302 to 299Dec 9, 2022 to Jan 27, 2023
- HNW clients · 86 to 85Dec 9, 2022 to Jan 27, 2023
- Individual clients · 17 to 16Dec 9, 2022 to Jan 27, 2023
- Assets in custody · $249M to $129MDec 9, 2022 to Jan 27, 2023
- Discretionary RAUM · $1.2B to $568MDec 9, 2022 to Jan 27, 2023
Signals
6 dated events
- B••••• I••••••••• M••••••••• L•• reported RAUM $846.2M, up 49% from $567.8M (2023-01-27 to 2024-02-09)Feb 9, 2024 · RAUM change · derived
- B••••• I••••••••• M••••••••• L•• reported RAUM $567.8M, down 53% from $1.2B (2022-12-09 to 2023-01-27)Jan 27, 2023 · RAUM change · derived
- B••••• I••••••••• M••••••••• L•• reported RAUM $1.2B, up 77% from $687.4M (2020-07-01 to 2021-02-08)Feb 8, 2021 · RAUM change · derived
- B••••• I••••••••• M••••••••• L•• reported RAUM $687.4M, up 28% from $536.2M (2019-09-09 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Barton Henry Riley (Co-Founder) appeared on Schedule A of B••••• I••••••••• M••••••••• L••Sep 9, 2019 · Control person joined · fact
- B••••• I••••••••• M••••••••• L•• reported RAUM $490.6M, up 42% from $345.7M (2017-12-07 to 2018-02-12)Feb 12, 2018 · RAUM change · derived
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
- Business phone
- 610-226-4040reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-226-4040reportedpublic record, Form ADV, Feb 2, 2026
- Team page
- bartonim.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $164Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026