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
F•••••••• A••••••••• I•••
Latest filing Mar 6, 2025
First filing on the tape Mar 9, 2022 · 7 filings
SEC status approved since Apr 8, 2022
RAUM
$233M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$233M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$233M as of Mar 6, 2025
Mar 7, 2023$179M then
HNW client RAUM$139M as of Mar 6, 2025
Mar 7, 2023$85.0M then
State-registered IARs (5.B.3)3 as of Mar 6, 2025
Mar 7, 20233 then
Employees (5.A)4 as of Mar 6, 2025
Mar 7, 20235 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2025; every figure names its basis
- RAUM per advisor
- $77.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 153derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $149,281derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, selection of other advisers, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M60%
- Individuals$94.0M40%
- Individual clients
- 374reported
- HNW clients
- 86reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,560reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- R•••• P••• N•••••• to C••••••• P•••••••Nov 6, 2025 · RIA to RIA
- D•••• A•• S•••••• to C••••••• P•••••••Nov 6, 2025 · RIA to RIA
- A••••• S•••• I•••• to C••••••• P•••••••Nov 6, 2025 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for C••••••• P•••••••Nov 6, 2025 · State College, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••• R••••• P••• · President, Shareholdercontrolsince 02/2007 · owns 75% or more
- I••••• A•••••• S•••• · Chief Compliance Officer, Shareholdersince 02/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| State College, Pa · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
- Lewisburg, PA2 employees
What changed
consecutive filings, newest first
- Accounts · 1,444 to 1,560Mar 20, 2024 to Mar 6, 2025
- HNW clients · 59 to 86Mar 20, 2024 to Mar 6, 2025
- Individual clients · 379 to 374Mar 20, 2024 to Mar 6, 2025
- Financial planning clients · 11-25 to 11-25Mar 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $205M to $233MMar 20, 2024 to Mar 6, 2025
- HNW RAUM · $94.3M to $139MMar 20, 2024 to Mar 6, 2025
- Individual RAUM · $110M to $94.0MMar 20, 2024 to Mar 6, 2025
- RAUM · $205M to $233MMar 20, 2024 to Mar 6, 2025
- Accounts · 1,326 to 1,444Mar 7, 2023 to Mar 19, 2024
- BD registered reps · 3 to 0Mar 7, 2023 to Mar 19, 2024
- HNW clients · 52 to 59Mar 7, 2023 to Mar 19, 2024
- Individual clients · 358 to 379Mar 7, 2023 to Mar 19, 2024
- Employees · 5 to 4Mar 7, 2023 to Mar 19, 2024
- Financial planning clients · 1-10 to 11-25Mar 7, 2023 to Mar 19, 2024
- Discretionary RAUM · $179M to $205MMar 7, 2023 to Mar 19, 2024
- HNW RAUM · $85.0M to $94.3MMar 7, 2023 to Mar 19, 2024
- Individual RAUM · $93.6M to $110MMar 7, 2023 to Mar 19, 2024
- RAUM · $179M to $205MMar 7, 2023 to Mar 19, 2024
- Accounts · 1,087 to 1,326Oct 21, 2022 to Mar 7, 2023
- HNW clients · 50 to 52Oct 21, 2022 to Mar 7, 2023
- Individual clients · 270 to 358Oct 21, 2022 to Mar 7, 2023
- Pooled vehicle clients · 0.0 to unsetOct 21, 2022 to Mar 7, 2023
- Employees · 4 to 5Oct 21, 2022 to Mar 7, 2023
- State-registered IARs · 1 to 3Oct 21, 2022 to Mar 7, 2023
- Discretionary RAUM · $162M to $179MOct 21, 2022 to Mar 7, 2023
- HNW RAUM · $74.7M to $85.0MOct 21, 2022 to Mar 7, 2023
- Individual RAUM · $87.3M to $93.6MOct 21, 2022 to Mar 7, 2023
- RAUM · $162M to $179MOct 21, 2022 to Mar 7, 2023
Signals
6 dated events
- F•••••••• A••••••••• I••• no longer on the SEC adviser roster (last listed 2026-02-02, RAUM $232.9M)Mar 2, 2026 · Left the SEC roster · derived
- D•••• A•• S•••••• left F•••••••• A••••••••• I••• for C••••••• P••••••• (registered 2025-10-01)Nov 6, 2025 · Advisor changed firm · fact
- A••••• S•••• I•••• left F•••••••• A••••••••• I••• for C••••••• P••••••• (registered 2025-10-01)Nov 6, 2025 · Advisor changed firm · fact
- R•••• P••• N•••••• left F•••••••• A••••••••• I••• for C••••••• P••••••• (registered 2025-10-01)Nov 6, 2025 · Advisor changed firm · fact
- F•••••••• A••••••••• I•••'s advisors moved to C••••••• P••••••• (State College, PA): 3 of 3 registered, on the same dayNov 6, 2025 · Firm absorbed (people side) · derived
- F•••••••• A••••••••• I••• filed its initial SEC registration (Form ADV)Mar 9, 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