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
P••••••••• F•••••••• P•••••••• I•••
Latest filing Dec 8, 2025
First filing on the tape Mar 16, 2022 · 15 filings
SEC status approved since Apr 15, 2022
RAUM
$161M
reported, Item 5.F
Discretionary
72%
of RAUM
Private clients
85%
$137M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$161M as of Dec 8, 2025
Feb 15, 2023$109M then
HNW client RAUM$113M as of Dec 8, 2025
Feb 15, 2023$83.4M then
State-registered IARs (5.B.3)4 as of Dec 8, 2025
Feb 15, 20232 then
Employees (5.A)6 as of Dec 8, 2025
Feb 15, 20235 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Dec 8, 2025; every figure names its basis
- RAUM per advisor
- $40.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $321,245derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 72%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $69.5M, 89 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
- 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
- High-net-worth individuals$113M74%
- Individuals$24.3M16%
- Corporations and businesses$10.5M6.9%
- Pension and profit-sharing plans$4.5M3.0%
- Charitable organizations$75,2010.0%
- Individual clients
- 99reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 500reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $69.5M for 89 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- B•••• L•••• Y•••• to A•••• O•• W••••• M••••••••• L••Mar 17, 2026 · RIA to RIA
- S•••••• G••••• B•••••• to A•••• O•• W••••• M••••••••• L••Mar 17, 2026 · RIA to RIA
- R••••• J• Y••• to A•••• O•• W••••• M••••••••• L••Mar 17, 2026 · RIA to RIA
Joined, latest
- B•••• L•••• Y•••• from M••••••••• • C• I••May 27, 2016 · Other
- S•••••• G••••• B•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 27, 2016 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A•••• O•• W••••• M••••••••• L••Mar 17, 2026 · Bridgeville, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••••• G••••• · Ceocontrolsince 05/2016 · owns 50% to 75%
- Y••••• B••••• L•••• · President And Chief Compliance Officercontrolsince 05/2016 · 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 |
|---|---|---|---|---|---|
| Bridgeville, Pa · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 437 to 500Jul 2, 2024 to Mar 27, 2025
- Advisory employees · 2 to 4Jul 2, 2024 to Mar 27, 2025
- Advisory activities · 4 to 5Jul 2, 2024 to Mar 27, 2025
- Charity clients · 0.0 to unsetJul 2, 2024 to Mar 27, 2025
- Corporate clients · 5 to 7Jul 2, 2024 to Mar 27, 2025
- HNW clients · 68 to 58Jul 2, 2024 to Mar 27, 2025
- Individual clients · 72 to 99Jul 2, 2024 to Mar 27, 2025
- Assets in custody · $63.9M to $69.5MJul 2, 2024 to Mar 27, 2025
- Financial planning clients · 101-250 to 101-250Jul 2, 2024 to Mar 27, 2025
- State-registered IARs · 2 to 4Jul 2, 2024 to Mar 27, 2025
- Discretionary RAUM · $80.8M to $115MJul 2, 2024 to Mar 27, 2025
- HNW RAUM · $109M to $113MJul 2, 2024 to Mar 27, 2025
- Individual RAUM · $12.4M to $24.3MJul 2, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $56.3M to $45.6MJul 2, 2024 to Mar 27, 2025
- Pension RAUM · $1.2M to $4.5MJul 2, 2024 to Mar 27, 2025
- RAUM · $137M to $161MJul 2, 2024 to Mar 27, 2025
- Accounts · 433 to 437Mar 8, 2024 to Apr 8, 2024
- Discretionary RAUM · $80.0M to $80.8MMar 8, 2024 to Apr 8, 2024
- HNW RAUM · $109M to $109MMar 8, 2024 to Apr 8, 2024
- RAUM · $136M to $137MMar 8, 2024 to Apr 8, 2024
- Accounts · 392 to 433Jan 16, 2024 to Mar 8, 2024
- HNW clients · 63 to 68Jan 16, 2024 to Mar 8, 2024
- Individual clients · 67 to 72Jan 16, 2024 to Mar 8, 2024
- Assets in custody · $57.0M to $63.9MJan 16, 2024 to Mar 8, 2024
- Employees · 5 to 6Jan 16, 2024 to Mar 8, 2024
- Discretionary RAUM · $48.0M to $80.0MJan 16, 2024 to Mar 8, 2024
- HNW RAUM · $83.4M to $109MJan 16, 2024 to Mar 8, 2024
- Individual RAUM · $12.7M to $12.4MJan 16, 2024 to Mar 8, 2024
- Non-discretionary RAUM · $60.8M to $56.3MJan 16, 2024 to Mar 8, 2024
- Pension RAUM · $3.0M to $1.2MJan 16, 2024 to Mar 8, 2024
- RAUM · $109M to $136MJan 16, 2024 to Mar 8, 2024
- Accounts · 393 to 392Jan 4, 2023 to Feb 15, 2023
- HNW clients · 66 to 63Jan 4, 2023 to Feb 15, 2023
- Individual clients · 70 to 67Jan 4, 2023 to Feb 15, 2023
- Assets in custody · $50.3M to $57.0MJan 4, 2023 to Feb 15, 2023
- Discretionary RAUM · $20.5M to $48.0MJan 4, 2023 to Feb 15, 2023
- HNW RAUM · $91.5M to $83.4MJan 4, 2023 to Feb 15, 2023
- Individual RAUM · $12.0M to $12.7MJan 4, 2023 to Feb 15, 2023
- Non-discretionary RAUM · $94.0M to $60.8MJan 4, 2023 to Feb 15, 2023
- Pension RAUM · $1.2M to $3.0MJan 4, 2023 to Feb 15, 2023
Signals
6 dated events
- P••••••••• F•••••••• P•••••••• I••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $160.6M)Apr 1, 2026 · Left the SEC roster · derived
- B•••• L•••• Y•••• left P••••••••• F•••••••• P•••••••• I••• for A•••• O•• W••••• M••••••••• L•• (registered 2026-04-03)Mar 17, 2026 · Advisor changed firm · fact
- R••••• J• Y••• left P••••••••• F•••••••• P•••••••• I••• for A•••• O•• W••••• M••••••••• L•• (registered 2026-04-03)Mar 17, 2026 · Advisor changed firm · fact
- S•••••• G••••• B•••••• left P••••••••• F•••••••• P•••••••• I••• for A•••• O•• W••••• M••••••••• L•• (registered 2026-04-03)Mar 17, 2026 · Advisor changed firm · fact
- P••••••••• F•••••••• P•••••••• I•••'s advisors moved to A•••• O•• W••••• M••••••••• L•• (Bridgeville, PA): 3 of 3 registered, on the same dayMar 17, 2026 · Firm absorbed (people side) · derived
- P••••••••• F•••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026