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
D•••••••• F•••••••• G••••• I•••
Latest filing Sep 14, 2026
First filing on the tape Jun 25, 2025 · 5 filings
SEC status approved since Jun 30, 2025
RAUM
$129M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$125M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$64.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$129M as of Mar 31, 2026
Jun 25, 2025$111M then
HNW client RAUM$56.0M as of Mar 31, 2026
Jun 25, 2025$85.6M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Jun 25, 20252 then
Employees (5.A)4 as of Mar 31, 2026
Jun 25, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $64.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $383,274derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $52.3M, 91 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
- 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$68.8M53%
- High-net-worth individuals$56.0M43%
- Pension and profit-sharing plans$4.0M3.1%
- Individual clients
- 272reported
- HNW clients
- 44reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 336reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.3M for 91 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• D••••••• D••••••••Chartered Financial Consultant | East Norriton, Pa | Jul 9, 2009 | 27 y | 1 |
| L•• L••••• | East Norriton, Pa | May 16, 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
- C•••••• D••••••• D•••••••• from O•••••••• R••••••••• A•••••••• I•••Jul 9, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list D•••••••• F•••••••• G••••• I••• as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| East Norriton, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 31, 2026 to Sep 14, 2026
- Succession · false to unsetMar 31, 2026 to Sep 14, 2026
- Accounts · 323 to 336Nov 14, 2025 to Mar 31, 2026
- HNW clients · 43 to 44Nov 14, 2025 to Mar 31, 2026
- Individual clients · 71 to 272Nov 14, 2025 to Mar 31, 2026
- Pension plan clients · 3 to 5Nov 14, 2025 to Mar 31, 2026
- Assets in custody · $46.3M to $52.3MNov 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $111M to $129MNov 14, 2025 to Mar 31, 2026
- HNW RAUM · $85.6M to $56.0MNov 14, 2025 to Mar 31, 2026
- Individual RAUM · $18.7M to $68.8MNov 14, 2025 to Mar 31, 2026
- Pension RAUM · $6.9M to $4.0MNov 14, 2025 to Mar 31, 2026
- RAUM · $111M to $129MNov 14, 2025 to Mar 31, 2026
- Related adviser · false to trueNov 14, 2025 to Mar 31, 2026
- Related broker-dealer · false to trueNov 14, 2025 to Mar 31, 2026
- Assets in custody · unset to 46289739.0Jun 25, 2025 to Aug 27, 2025
- Custody of client assets · false to trueJun 25, 2025 to Aug 27, 2025
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 phone
- 484-681-9046reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w••.d••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 484-681-9046reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- d••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $64.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026