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
B••••• • C•••••• I••••••••• M••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Dec 19, 2011 · 26 filings
SEC status approved since Feb 12, 2008
RAUM
$441M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$410M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$220M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$441M as of Mar 18, 2026
Mar 5, 2012$104M then
HNW client RAUM$378M as of Mar 18, 2026
Mar 21, 2018$127M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 5, 20120 then
Employees (5.A)3 as of Mar 18, 2026
Mar 26, 20133 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 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
- $220MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 102derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $871,180derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $71.4M, 61 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)
- 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$378M86%
- Individuals$31.8M7.2%
- Charitable organizations$20.1M4.6%
- Pension and profit-sharing plans$10.3M2.3%
- Corporations and businesses$365,7590.1%
- Individual clients
- 99reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 506reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.4M for 61 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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•••••• W•••••• B•••••Chartered Financial Analyst | Erie, Pa | Aug 20, 2010 | 24 y | 1 |
| M•••••• H••••••• B•••••Certified Financial Planner | Erie, Pa | Aug 23, 2024 | 10 y | 0 |
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•••••• W•••••• B••••• from W•••••••• I•••••••• I••Aug 20, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• W•••••• · Managing Member / President / Chief Compliance Officercontrolsince 02/2008 · 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 |
|---|---|---|---|---|---|
| Erie, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 18, 2026accounts (Item 5.F.2.f) moved from 208.0 to 506.0 (+143.0%) between the annual amendments of 2025-03-25 and 2026-03-18; the peer median change was +5.0% (3686 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 99% percentile
- business activity changedChange between filings · filing Mar 18, 2026pension consulting (Item 5.G.6): no on the filing of 2025-03-25, yes on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 208 to 506Mar 25, 2025 to Mar 18, 2026
- Advisory activities · 3 to 4Mar 25, 2025 to Mar 18, 2026
- Charity clients · 6 to 5Mar 25, 2025 to Mar 18, 2026
- HNW clients · 101 to 105Mar 25, 2025 to Mar 18, 2026
- Individual clients · 97 to 99Mar 25, 2025 to Mar 18, 2026
- Assets in custody · $133M to $71.4MMar 25, 2025 to Mar 18, 2026
- Discretionary RAUM · $387M to $441MMar 25, 2025 to Mar 18, 2026
- HNW RAUM · $325M to $378MMar 25, 2025 to Mar 18, 2026
- Individual RAUM · $31.8M to $31.8MMar 25, 2025 to Mar 18, 2026
- Pension RAUM · $11.2M to $10.3MMar 25, 2025 to Mar 18, 2026
- RAUM · $387M to $441MMar 25, 2025 to Mar 18, 2026
- Accounts · 466 to 208Dec 9, 2024 to Mar 25, 2025
- Advisory employees · 1 to 2Dec 9, 2024 to Mar 25, 2025
- Charity clients · unset to 6.0Dec 9, 2024 to Mar 25, 2025
- HNW clients · 86 to 101Dec 9, 2024 to Mar 25, 2025
- Individual clients · 98 to 97Dec 9, 2024 to Mar 25, 2025
- Assets in custody · $43.1M to $133MDec 9, 2024 to Mar 25, 2025
- Employees · 2 to 3Dec 9, 2024 to Mar 25, 2025
- Financial planning clients · 101-250 to 101-250Dec 9, 2024 to Mar 25, 2025
- State-registered IARs · 1 to 2Dec 9, 2024 to Mar 25, 2025
- Discretionary RAUM · $318M to $387MDec 9, 2024 to Mar 25, 2025
- HNW RAUM · $260M to $325MDec 9, 2024 to Mar 25, 2025
- Individual RAUM · $36.7M to $31.8MDec 9, 2024 to Mar 25, 2025
- Pension RAUM · $4.9M to $11.2MDec 9, 2024 to Mar 25, 2025
- RAUM · $318M to $387MDec 9, 2024 to Mar 25, 2025
- Accounts · 467 to 466Nov 22, 2023 to Mar 20, 2024
- HNW clients · 82 to 86Nov 22, 2023 to Mar 20, 2024
- Individual clients · 111 to 98Nov 22, 2023 to Mar 20, 2024
- Assets in custody · $40.5M to $43.1MNov 22, 2023 to Mar 20, 2024
- Discretionary RAUM · $272M to $318MNov 22, 2023 to Mar 20, 2024
- HNW RAUM · $213M to $260MNov 22, 2023 to Mar 20, 2024
- Individual RAUM · $40.6M to $36.7MNov 22, 2023 to Mar 20, 2024
- Pension RAUM · $3.5M to $4.9MNov 22, 2023 to Mar 20, 2024
- RAUM · $272M to $318MNov 22, 2023 to Mar 20, 2024
- Accounts · 460 to 467Mar 24, 2022 to Mar 23, 2023
- Charity clients · 6.0 to unsetMar 24, 2022 to Mar 23, 2023
- Corporate clients · 1.0 to unsetMar 24, 2022 to Mar 23, 2023
- HNW clients · 91 to 82Mar 24, 2022 to Mar 23, 2023
- Individual clients · 93 to 111Mar 24, 2022 to Mar 23, 2023
- Pension plan clients · 3.0 to unsetMar 24, 2022 to Mar 23, 2023
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.
How to reach
public business contact points only, each with its source
- Business email
- i•••@b•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 814-314-0344reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 814-314-0344reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- b•••••••••.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
- $220Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026