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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
Y•••• • A••••••••• I••••••••• A•••••••• L••
Latest filing Jan 27, 2026
First filing on the tape Feb 7, 2022 · 14 filings
SEC status approved since Mar 9, 2022
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$172M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.3M
derived; firm RAUM over IAPD count
Employees
2
1 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$173M as of Jan 27, 2026
Jan 17, 2023$123M then
HNW client RAUM$145M as of Jan 27, 2026
Jan 17, 2023$91.0M then
State-registered IARs (5.B.3)1 as of Jan 27, 2026
Jan 17, 20232 then
Employees (5.A)2 as of Jan 27, 2026
Jan 17, 20233 then
Private funds: no history
RAUM +7.9% over the last fiscal year+12% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $86.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $415,024derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $176M, 109 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
- 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)
- 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$145M84%
- Individuals$26.9M16%
- Corporations and businesses$1.0M0.6%
- Charitable organizations$92,9470.1%
- Individual clients
- 61reported
- HNW clients
- 46reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 416reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $176M for 109 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A••• Y••••Certified Financial Planner, Chartered Financial Analyst | Wexford, Pa | Feb 7, 2007 | 19 y | 0 |
| J••••••• T••••• S••••• | Wexford, Pa | Mar 11, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount1 left over 36 months
Left, latest
- K•••• G•••• M•••••• to A••••• A•• P••••••• S•••••••Dec 5, 2025 · RIA to affiliated broker-dealer or bank
- M•••••• K••• L•••• to F••••••• F•••••••• A•••••••Sep 29, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• M••••••• A••• · Principal & Ccocontrolsince 12/2006 · 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 |
|---|---|---|---|---|---|
| Wexford, Pa · principal | 2 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 394 to 416Dec 5, 2025 to Jan 27, 2026
- HNW clients · 40 to 46Dec 5, 2025 to Jan 27, 2026
- Individual clients · 62 to 61Dec 5, 2025 to Jan 27, 2026
- Assets in custody · $160M to $176MDec 5, 2025 to Jan 27, 2026
- Discretionary RAUM · $160M to $173MDec 5, 2025 to Jan 27, 2026
- HNW RAUM · $129M to $145MDec 5, 2025 to Jan 27, 2026
- Individual RAUM · $30.4M to $26.9MDec 5, 2025 to Jan 27, 2026
- RAUM · $160M to $173MDec 5, 2025 to Jan 27, 2026
- Advisory employees · 2 to 1Jan 21, 2025 to Dec 5, 2025
- Employees · 3 to 2Jan 21, 2025 to Dec 5, 2025
- State-registered IARs · 2 to 1Jan 21, 2025 to Dec 5, 2025
- Accounts · 372 to 394Jul 29, 2024 to Jan 21, 2025
- HNW clients · 35 to 40Jul 29, 2024 to Jan 21, 2025
- Individual clients · 61 to 62Jul 29, 2024 to Jan 21, 2025
- Assets in custody · $141M to $160MJul 29, 2024 to Jan 21, 2025
- Financial planning clients · unset to Jul 29, 2024 to Jan 21, 2025
- Discretionary RAUM · $141M to $160MJul 29, 2024 to Jan 21, 2025
- HNW RAUM · $107M to $129MJul 29, 2024 to Jan 21, 2025
- Individual RAUM · $33.7M to $30.4MJul 29, 2024 to Jan 21, 2025
- RAUM · $141M to $160MJul 29, 2024 to Jan 21, 2025
- Accounts · 441 to 372Jun 27, 2023 to Jan 10, 2024
- HNW clients · 36 to 35Jun 27, 2023 to Jan 10, 2024
- Individual clients · 70 to 61Jun 27, 2023 to Jan 10, 2024
- Assets in custody · $123M to $141MJun 27, 2023 to Jan 10, 2024
- Financial planning clients · 0 to unsetJun 27, 2023 to Jan 10, 2024
- Discretionary RAUM · $123M to $141MJun 27, 2023 to Jan 10, 2024
- HNW RAUM · $91.0M to $107MJun 27, 2023 to Jan 10, 2024
- Individual RAUM · $31.3M to $33.7MJun 27, 2023 to Jan 10, 2024
- RAUM · $123M to $141MJun 27, 2023 to Jan 10, 2024
- Accounts · 419 to 441Jun 23, 2022 to Jan 17, 2023
- HNW clients · 34 to 36Jun 23, 2022 to Jan 17, 2023
- Individual clients · 69 to 70Jun 23, 2022 to Jan 17, 2023
- Assets in custody · $119M to $123MJun 23, 2022 to Jan 17, 2023
- Discretionary RAUM · $119M to $123MJun 23, 2022 to Jan 17, 2023
- HNW RAUM · $87.8M to $91.0MJun 23, 2022 to Jan 17, 2023
- Individual RAUM · $30.6M to $31.3MJun 23, 2022 to Jan 17, 2023
- RAUM · $119M to $123MJun 23, 2022 to Jan 17, 2023
- Advisory employees · 1 to 2Apr 5, 2022 to Jun 23, 2022
- State-registered IARs · 1 to 2Apr 5, 2022 to Jun 23, 2022
Signals
2 dated events
- K•••• G•••• M•••••• left Y•••• • A••••••••• I••••••••• A•••••••• L•• for A••••• A•• P••••••• S••••••• (registered 2025-12-26)Dec 5, 2025 · Advisor changed firm · fact
- Y•••• • A••••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 7, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 724-940-0310reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- Y••••ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-940-0310reportedpublic record, Form ADV, Jan 27, 2026
- Team page
- y•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $86.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026