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
M•• F•••••••• G••••• L••
Latest filing Aug 19, 2026
First filing on the tape May 20, 2015 · 22 filings
SEC status approved since Jun 1, 2015
RAUM
$772M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$767M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$96.5M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$772M as of Aug 19, 2026
Feb 29, 2016$151M then
HNW client RAUM$78.4M as of Aug 19, 2026
Mar 8, 2018$41.6M then
State-registered IARs (5.B.3)8 as of Aug 19, 2026
Feb 29, 20161 then
Employees (5.A)16 as of Aug 19, 2026
Feb 29, 20164 then
Private funds: no history
RAUM +24% over the last fiscal year+27% a year over threeIARs 7 to 8offices 0 to 1
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $96.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 409derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $235,545derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +170%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 consulting, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 3,000reportedItem 5.H
- Custody
- yesreportedItem 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)
- 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
- Individuals$689M89%
- High-net-worth individuals$78.4M10%
- Charitable organizations$4.2M0.5%
- Individual clients
- 3,259reported
- HNW clients
- 14reported
- Pension plan clients
- 0reported
- Charitable clients
- 3reported
- Accounts
- 3,276reported
- Financial planning clients
- 3,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• R•••••• D••••••• | Bethlehem, Pa | Aug 6, 2008 | 42 y | 2 |
| G•••••• T• G••••• | Bethlehem, Pa | Nov 9, 2018 | 29 y | 3 |
| M••• B••••• | Bethlehem, Pa | Jan 23, 2019 | 24 y | 4 |
| D•••• O•••• | Bethlehem, Pa | Sep 11, 2020 | 17 y | 0 |
| C••• D•••• R•••••••• | Bethlehem, Pa | Jan 29, 2021 | 28 y | 0 |
| A••••• C•••••• Y•••• | Bethlehem, Pa | Jul 1, 2021 | 11 y | 0 |
| J••••••• W•••••Certified Financial Planner | Bethlehem, Pa | Feb 2, 2023 | 11 y | 2 |
| G•••• C••••• K••••• | Bethlehem, Pa | Feb 25, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- G•••• C••••• K••••• from E•••••••• A•••••••• L••Feb 25, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••••• W••••• from F••••••• P••••••• A•• W•••••••• A•••••••Feb 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••• B••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 23, 2019 · Wirehouse to independent RIA
- G•••••• T• G••••• from T• A••••••••• I•••Nov 9, 2018 · Other
- G••• R•••••• D••••••• from L•• F•••••••• L••Aug 6, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• G•••• R•••••• · Managing Member/Chief Compliance Officercontrolsince 05/2008 · 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 |
|---|---|---|---|---|---|
| Bethlehem, Pa · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 19, 2026private clients per advisor of 409.1 against a peer median of 63.6 (1210 comparable advisers, 99.0th percentile, 9.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,210) · 99% percentile
- HNW share shiftChange between filings · filing Mar 25, 2026HNW share of RAUM moved from 62.0% to 10.0% between the annual amendments of 2025-01-24 and 2026-03-25peers: independent wealth managers, $500M to $1B (1,482)
- client count surgeChange between filings · filing Mar 25, 2026individual and HNW clients (Item 5.D) moved from 1,211.0 to 3,273.0 (+170.0%) between the annual amendments of 2025-01-24 and 2026-03-25; the peer median change was +5.0% (1216 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 100% percentile
- employee count surgeChange between filings · filing Mar 25, 2026employees (Item 5.A) moved from 10.0 to 16.0 (+60.0%) between the annual amendments of 2025-01-24 and 2026-03-25; the peer median change was 0.0% (596 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $500M to $1B (596) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 3,167 to 3,276Jan 24, 2025 to Mar 25, 2026
- Advisory employees · 8 to 9Jan 24, 2025 to Mar 25, 2026
- Charity clients · 1 to 3Jan 24, 2025 to Mar 25, 2026
- HNW clients · 326 to 14Jan 24, 2025 to Mar 25, 2026
- Individual clients · 885 to 3,259Jan 24, 2025 to Mar 25, 2026
- Employees · 10 to 16Jan 24, 2025 to Mar 25, 2026
- State-registered IARs · 7 to 8Jan 24, 2025 to Mar 25, 2026
- Other offices · 0 to 1Jan 24, 2025 to Mar 25, 2026
- Discretionary RAUM · $621M to $772MJan 24, 2025 to Mar 25, 2026
- HNW RAUM · $382M to $78.4MJan 24, 2025 to Mar 25, 2026
- Individual RAUM · $236M to $689MJan 24, 2025 to Mar 25, 2026
- RAUM · $621M to $772MJan 24, 2025 to Mar 25, 2026
- Accounts · 2,788 to 3,167Feb 9, 2024 to Jan 24, 2025
- HNW clients · 287 to 326Feb 9, 2024 to Jan 24, 2025
- Individual clients · 961 to 885Feb 9, 2024 to Jan 24, 2025
- Financial planning clients · More than 500 to More than 500Feb 9, 2024 to Jan 24, 2025
- Discretionary RAUM · $488M to $621MFeb 9, 2024 to Jan 24, 2025
- HNW RAUM · $286M to $382MFeb 9, 2024 to Jan 24, 2025
- Individual RAUM · $199M to $236MFeb 9, 2024 to Jan 24, 2025
- RAUM · $488M to $621MFeb 9, 2024 to Jan 24, 2025
- Accounts · 2,120 to 2,788Mar 23, 2023 to Feb 9, 2024
- Charity clients · unset to 1.0Mar 23, 2023 to Feb 9, 2024
- HNW clients · 137 to 287Mar 23, 2023 to Feb 9, 2024
- Individual clients · 742 to 961Mar 23, 2023 to Feb 9, 2024
- Discretionary RAUM · $378M to $488MMar 23, 2023 to Feb 9, 2024
- HNW RAUM · $189M to $286MMar 23, 2023 to Feb 9, 2024
- Individual RAUM · $186M to $199MMar 23, 2023 to Feb 9, 2024
- RAUM · $378M to $488MMar 23, 2023 to Feb 9, 2024
- Accounts · 1,844 to 2,120Feb 8, 2023 to Mar 23, 2023
- Charity clients · 1.0 to unsetFeb 8, 2023 to Mar 23, 2023
- HNW clients · 123 to 137Feb 8, 2023 to Mar 23, 2023
- Individual clients · 693 to 742Feb 8, 2023 to Mar 23, 2023
- Pension plan clients · 9 to 0Feb 8, 2023 to Mar 23, 2023
- Discretionary RAUM · $367M to $378MFeb 8, 2023 to Mar 23, 2023
- HNW RAUM · $166M to $189MFeb 8, 2023 to Mar 23, 2023
- Individual RAUM · $198M to $186MFeb 8, 2023 to Mar 23, 2023
- Pension RAUM · $1.4M to $0Feb 8, 2023 to Mar 23, 2023
- RAUM · $367M to $378MFeb 8, 2023 to Mar 23, 2023
- Advisory employees · 7 to 8Mar 3, 2022 to Feb 8, 2023
- Employees · 9 to 10Mar 3, 2022 to Feb 8, 2023
Signals
3 dated events
- M•• F•••••••• G••••• L•• reported RAUM $620.7M, up 27% from $488.2M (2024-02-09 to 2025-01-24)Jan 24, 2025 · RAUM change · derived
- M•• F•••••••• G••••• L•• reported RAUM $488.2M, up 29% from $377.8M (2023-03-23 to 2024-02-09)Feb 9, 2024 · RAUM change · derived
- M•• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)May 20, 2015 · 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
- 570-300-4984reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-746-2407reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-746-7007reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-746-7007reportedpublic record, Form ADV, Aug 19, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $96.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026