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
A•••••• M•••••
Legal name A•••••• M•••••• L••
Latest filing Apr 8, 2026
First filing on the tape May 3, 2016 · 19 filings
SEC status approved since May 10, 2016
RAUM
$687M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$551M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$229M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$687M as of Apr 8, 2026
Mar 21, 2017$152M then
HNW client RAUM$499M as of Apr 8, 2026
Jan 9, 2018$104M then
State-registered IARs (5.B.3)2 as of Apr 8, 2026
Mar 21, 20172 then
Employees (5.A)6 as of Apr 8, 2026
Mar 21, 20174 then
Private funds: no history
RAUM +17% over the last fiscal year+21% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 8, 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
- $229MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $725,843derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$499M73%
- Pension and profit-sharing plans$133M19%
- Individuals$52.7M7.7%
- Charitable organizations$1.7M0.3%
- Corporations and businesses$1.3M0.2%
- Individual clients
- 122reported
- HNW clients
- 163reported
- Pension plan clients
- 10reported
- Charitable clients
- 2reported
- Accounts
- 947reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.2 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••••• M•••••Certified Financial Planner, Chartered Financial Analyst | Lancaster, Pa | Sep 19, 2008 | 18 y | 0 |
| B••••••• H• A•••••• | Lancaster, Pa | Sep 19, 2008 | 18 y | 0 |
| M••••• A••••• B••• | Lancaster, Pa | May 26, 2026 | 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
- B••• A•• V•••••• to F•••••••• A••••••• S•••••••• L••Jul 18, 2019 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• B•••••••• H• · Managing Membercontrolsince 08/2008 · owns 50% to 75%
- M•••••• M••••••• C•••••• · Managing Membercontrolsince 08/2008 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 955 to 947Oct 24, 2025 to Jan 6, 2026
- Charity clients · unset to 2.0Oct 24, 2025 to Jan 6, 2026
- Corporate clients · 6.0 to unsetOct 24, 2025 to Jan 6, 2026
- HNW clients · 153 to 163Oct 24, 2025 to Jan 6, 2026
- Individual clients · 118 to 122Oct 24, 2025 to Jan 6, 2026
- Pension plan clients · unset to 10.0Oct 24, 2025 to Jan 6, 2026
- Employees · 5 to 6Oct 24, 2025 to Jan 6, 2026
- Discretionary RAUM · $587M to $687MOct 24, 2025 to Jan 6, 2026
- HNW RAUM · $421M to $499MOct 24, 2025 to Jan 6, 2026
- Individual RAUM · $52.7M to $52.7MOct 24, 2025 to Jan 6, 2026
- Pension RAUM · $1.1M to $133MOct 24, 2025 to Jan 6, 2026
- RAUM · $587M to $687MOct 24, 2025 to Jan 6, 2026
- Financial planning clients · 251-500 to 251-500Jan 16, 2025 to Feb 13, 2025
- Accounts · 877 to 955Jan 11, 2024 to Jan 16, 2025
- HNW clients · 137 to 153Jan 11, 2024 to Jan 16, 2025
- Individual clients · 114 to 118Jan 11, 2024 to Jan 16, 2025
- Discretionary RAUM · $482M to $587MJan 11, 2024 to Jan 16, 2025
- HNW RAUM · $336M to $421MJan 11, 2024 to Jan 16, 2025
- Individual RAUM · $51.9M to $52.7MJan 11, 2024 to Jan 16, 2025
- Pension RAUM · $955,245 to $1.1MJan 11, 2024 to Jan 16, 2025
- RAUM · $482M to $587MJan 11, 2024 to Jan 16, 2025
- Accounts · 848 to 877Jan 11, 2023 to Jan 11, 2024
- HNW clients · 121 to 137Jan 11, 2023 to Jan 11, 2024
- Individual clients · 117 to 114Jan 11, 2023 to Jan 11, 2024
- Employees · 4 to 5Jan 11, 2023 to Jan 11, 2024
- Financial planning clients · 101-250 to 251-500Jan 11, 2023 to Jan 11, 2024
- Discretionary RAUM · $392M to $482MJan 11, 2023 to Jan 11, 2024
- HNW RAUM · $262M to $336MJan 11, 2023 to Jan 11, 2024
- Individual RAUM · $50.8M to $51.9MJan 11, 2023 to Jan 11, 2024
- Pension RAUM · $841,361 to $955,245Jan 11, 2023 to Jan 11, 2024
- RAUM · $392M to $482MJan 11, 2023 to Jan 11, 2024
- Accounts · 852 to 848Dec 9, 2022 to Jan 11, 2023
- Corporate clients · 5 to 6Dec 9, 2022 to Jan 11, 2023
- HNW clients · 124 to 121Dec 9, 2022 to Jan 11, 2023
- Individual clients · 99 to 117Dec 9, 2022 to Jan 11, 2023
- Discretionary RAUM · $405M to $392MDec 9, 2022 to Jan 11, 2023
- HNW RAUM · $269M to $262MDec 9, 2022 to Jan 11, 2023
- Individual RAUM · $40.7M to $50.8MDec 9, 2022 to Jan 11, 2023
- Pension RAUM · $1.2M to $841,361Dec 9, 2022 to Jan 11, 2023
- RAUM · $405M to $392MDec 9, 2022 to Jan 11, 2023
Signals
1 dated events
- A•••••• M•••••• L•• filed its initial SEC registration (Form ADV)May 3, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••• M••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 717-798-9908reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 717-400-1505reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- A••••••M•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (717) 400-1505reportedpublic record, Form ADV, Apr 8, 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
- $229Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026