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
F••••••••• C•••••• M••••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Mar 3, 2023 · 14 filings
SEC status approved since Mar 21, 2024
RAUM
$244M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$234M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$244M as of Mar 26, 2026
Mar 31, 2025$196M then
HNW client RAUM$113M as of Mar 26, 2026
Mar 31, 2025$88.6M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 31, 20252 then
Employees (5.A)2 as of Mar 26, 2026
Mar 31, 20252 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 295derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $436,116derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$121M50%
- High-net-worth individuals$113M46%
- Charitable organizations$9.6M3.9%
- Individual clients
- 494reported
- HNW clients
- 95reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 559reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• F•••••• N•••••Chartered Financial Consultant | East Norriton, Pa | Feb 26, 2007 | 41 y | 1 |
| C•••••• J••••• M•••••• | East Norriton, Pa | Feb 26, 2007 | 36 y | 3 |
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•••••• F•••••• N••••• from S••••••••• A•••••• A•••••••• I•••Feb 26, 2007 · Other
- C•••••• J••••• M•••••• from S•• A•••••••• I•••Feb 26, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• C••••••• J••••• · Chief Compliance Officercontrolsince 12/2006 · owns 50% to 75%
- N•••••• M••••••• F•••••• · Presidentcontrolsince 12/2006 · 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 |
|---|---|---|---|---|---|
| East Norriton, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 491 to 559Mar 31, 2025 to Mar 26, 2026
- Charity clients · 5 to 6Mar 31, 2025 to Mar 26, 2026
- HNW clients · 65 to 95Mar 31, 2025 to Mar 26, 2026
- Individual clients · 421 to 494Mar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $196M to $244MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $88.6M to $113MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $100M to $121MMar 31, 2025 to Mar 26, 2026
- RAUM · $196M to $244MMar 31, 2025 to Mar 26, 2026
- HNW clients · 53 to 65Aug 29, 2024 to Mar 31, 2025
- Individual clients · 433 to 421Aug 29, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Aug 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $184M to $196MAug 29, 2024 to Mar 31, 2025
- HNW RAUM · $71.6M to $88.6MAug 29, 2024 to Mar 31, 2025
- Individual RAUM · $107M to $100MAug 29, 2024 to Mar 31, 2025
- RAUM · $184M to $196MAug 29, 2024 to Mar 31, 2025
- Accounts · 365 to 491Mar 26, 2024 to Aug 23, 2024
- Charity clients · 10 to 5Mar 26, 2024 to Aug 23, 2024
- HNW clients · 230 to 53Mar 26, 2024 to Aug 23, 2024
- Individual clients · 125 to 433Mar 26, 2024 to Aug 23, 2024
- Discretionary RAUM · $134M to $184MMar 26, 2024 to Aug 23, 2024
- HNW RAUM · $85.0M to $71.6MMar 26, 2024 to Aug 23, 2024
- Individual RAUM · $34.4M to $107MMar 26, 2024 to Aug 23, 2024
- RAUM · $134M to $184MMar 26, 2024 to Aug 23, 2024
Signals
1 dated events
- F••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 3, 2023 · 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
- Business phone
- 610-278-6961reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-278-9974reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-278-6961reportedpublic record, Form ADV, Mar 26, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026