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

G•••• A•••••••• I••••••••• M••••••••• I•••

Former SEC-registered adviserSeven Fields, PennsylvaniaCRD 143008SEC 801-67529IAPD
Legal name A••••••• I••••••••• S••••••••• I•••
Latest filing Feb 7, 2020
First filing on the tape Mar 15, 2012 · 36 filings
RAUM
$331M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
83%
$276M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$331M as of Feb 7, 2020
Mar 15, 2012$105M then
HNW client RAUM$157M as of Feb 7, 2020
Feb 6, 2018$145M then
State-registered IARs (5.B.3)6 as of Feb 7, 2020
Feb 19, 20139 then
Employees (5.A)11 as of Feb 7, 2020
Feb 19, 201313 then
Private funds: no history
RAUM +19% over the last fiscal year+11% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Feb 7, 2020; every figure names its basis
RAUM per advisor
$55.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$224,431derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Financial planning clients
600reportedItem 5.H
Custody
$63.7M, 350 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)
  • compensates persons for client referrals (8.G.1)
  • 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$157M47%
  • Individuals$119M36%
  • State and municipal entities$28.2M8.5%
  • Corporations and businesses$14.1M4.2%
  • Charitable organizations$13.1M4.0%
Individual clients
549reported
HNW clients
62reported
Pension plan clients
0reported
Charitable clients
7reported
Accounts
1,476reported
Financial planning clients
600reported
Wrap fee programs
noreported
Custody of client assets
$63.7M for 350 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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• G•••• E••• · Officercontrol
      since 01/2007 · owns less than 5%
    • A••••••••• T••••••• J••• · Officer And Chief Compliance Officercontrol
      since 01/2007 · owns less than 5%
    • G••••• S••••••• W•••••• · Officercontrol
      since 01/2007 · owns less than 5%
    • A••••••••• G•••• E••• · Officercontrol
      since 01/2005 · owns 25% to 50% of G•••• A•••••••• • A••••••••• L•••
    • G••••• S••••••• W•••••• · Officercontrol
      since 01/2005 · owns 50% to 75% of G•••• A•••••••• • A••••••••• L•••
    Entity owners
    • G•••• A•••••••• • A••••••••• L••• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    • G•••• A•••••••• • A••••••••• L•••
      insurancereal estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Pittsburgh, PA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,285 to 1,476
      Sep 4, 2019 to Feb 7, 2020
    • Advisory employees · 8 to 6
      Sep 4, 2019 to Feb 7, 2020
    • Advisory activities · 4 to 5
      Sep 4, 2019 to Feb 7, 2020
    • Charity clients · 9 to 7
      Sep 4, 2019 to Feb 7, 2020
    • Corporate clients · 13 to 11
      Sep 4, 2019 to Feb 7, 2020
    • HNW clients · 61 to 62
      Sep 4, 2019 to Feb 7, 2020
    • Individual clients · 526 to 549
      Sep 4, 2019 to Feb 7, 2020
    • Assets in custody · $37.9M to $63.7M
      Sep 4, 2019 to Feb 7, 2020
    • Employees · 13 to 11
      Sep 4, 2019 to Feb 7, 2020
    • Insurance-licensed employees · 0 to 6
      Sep 4, 2019 to Feb 7, 2020
    • Financial planning clients · 101-250 to More than 500
      Sep 4, 2019 to Feb 7, 2020
    • State-registered IARs · 8 to 6
      Sep 4, 2019 to Feb 7, 2020
    • Discretionary RAUM · $275M to $328M
      Sep 4, 2019 to Feb 7, 2020
    • HNW RAUM · $134M to $157M
      Sep 4, 2019 to Feb 7, 2020
    • Individual RAUM · $95.9M to $119M
      Sep 4, 2019 to Feb 7, 2020
    • Non-discretionary RAUM · $4.3M to $3.3M
      Sep 4, 2019 to Feb 7, 2020
    • RAUM · $279M to $331M
      Sep 4, 2019 to Feb 7, 2020
    • HQ city · SARVER to SEVEN FIELDS
      Jun 12, 2019 to Aug 29, 2019
    • Accounts · 1,501 to 1,285
      Oct 25, 2018 to Feb 27, 2019
    • Advisory employees · 5 to 8
      Oct 25, 2018 to Feb 27, 2019
    • Charity clients · 7 to 9
      Oct 25, 2018 to Feb 27, 2019
    • Corporate clients · 11 to 13
      Oct 25, 2018 to Feb 27, 2019
    • HNW clients · 54 to 61
      Oct 25, 2018 to Feb 27, 2019
    • Individual clients · 538 to 526
      Oct 25, 2018 to Feb 27, 2019
    • Assets in custody · $30.9M to $37.9M
      Oct 25, 2018 to Feb 27, 2019
    • Employees · 10 to 13
      Oct 25, 2018 to Feb 27, 2019
    • State-registered IARs · 5 to 8
      Oct 25, 2018 to Feb 27, 2019
    • Discretionary RAUM · $299M to $275M
      Oct 25, 2018 to Feb 27, 2019
    • HNW RAUM · $134M to $134M
      Oct 25, 2018 to Feb 27, 2019
    • Individual RAUM · $115M to $95.9M
      Oct 25, 2018 to Feb 27, 2019
    • Non-discretionary RAUM · $3.1M to $4.3M
      Oct 25, 2018 to Feb 27, 2019
    • RAUM · $302M to $279M
      Oct 25, 2018 to Feb 27, 2019
    • Accounts · 2,956 to 1,501
      Oct 3, 2018 to Oct 24, 2018
    • Corporate clients · 13 to 11
      Oct 3, 2018 to Oct 24, 2018
    • HNW clients · 63 to 54
      Oct 3, 2018 to Oct 24, 2018
    • Individual clients · 811 to 538
      Oct 3, 2018 to Oct 24, 2018
    • Assets in custody · $27.0M to $30.9M
      Oct 3, 2018 to Oct 24, 2018
    • Employees · 9 to 10
      Oct 3, 2018 to Oct 24, 2018
    • Discretionary RAUM · $351M to $299M
      Oct 3, 2018 to Oct 24, 2018
    • HNW RAUM · $145M to $134M
      Oct 3, 2018 to Oct 24, 2018
    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.
    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