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
S••••••••• C•••••• A•••••••• L••
Latest filing May 14, 2026
First filing on the tape Jan 30, 2012 · 34 filings
SEC status approved since Apr 20, 2009
RAUM
$1.3B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
97%
$1.3B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$336M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.3B as of May 14, 2026
Jan 30, 2012$411M then
HNW client RAUM$1.2B as of May 14, 2026
Mar 27, 2018$629M then
State-registered IARs (5.B.3)4 as of May 14, 2026
Jan 30, 20120 then
Employees (5.A)6 as of May 14, 2026
Feb 5, 20137 then
Private funds: no history
RAUM +17% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
- RAUM per advisor
- $336MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $599,052derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +5.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $902M, 321 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B90%
- Individuals$89.6M6.7%
- Charitable organizations$39.8M3.0%
- Pension and profit-sharing plans$2.4M0.2%
- Corporations and businesses$168,8650.0%
- Individual clients
- 316reported
- HNW clients
- 261reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 2,244reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $902M for 321 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• A••••• S••••Certified Financial Planner | Devon, Pa | Jun 12, 2009 | 33 y | 2 |
| C••••••••• C••••••• D•••••••Certified Financial Planner | Devon, Pa | Nov 20, 2009 | 24 y | 2 |
| H•••• W•••••• H•••••Certified Financial Planner | Devon, Pa | Oct 9, 2018 | 13 y | 1 |
| J••••• N• T•••••••Certified Financial Planner | Devon, Pa | Jun 30, 2023 | 13 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
- J••• F• S••••••••• to G•••• V••••• A•••••• G••••• L••May 16, 2019 · RIA to RIA
Joined, latest
- H•••• W•••••• H••••• from U•• F•••••••• S••••••• I•••Oct 9, 2018 · Wirehouse to independent RIA
- J••• F• S••••••••• from M••••• S••••••Jan 3, 2012 · Other
- C••••••••• C••••••• D••••••• from G••••• A••••••• S•••••••• L••Nov 20, 2009 · Other
- D•••••• A••••• S•••• from M••••• S••••••Jun 12, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• C••••••••• C••••••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- S••••• D••••••• A••••• · Managing Directorcontrolsince 06/2009 · 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 |
|---|---|---|---|---|---|
| Devon, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing May 14, 2026broker-dealer affiliate (Item 7.A.1): no on the filing of 2026-02-23, yes on the filing of 2026-05-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Related adviser · false to trueFeb 23, 2026 to May 14, 2026
- Related broker-dealer · false to trueFeb 23, 2026 to May 14, 2026
- Accounts · 2,085 to 2,244Oct 9, 2025 to Feb 23, 2026
- Charity clients · 11 to 12Oct 9, 2025 to Feb 23, 2026
- HNW clients · 236 to 261Oct 9, 2025 to Feb 23, 2026
- Individual clients · 311 to 316Oct 9, 2025 to Feb 23, 2026
- Assets in custody · $763M to $902MOct 9, 2025 to Feb 23, 2026
- Discretionary RAUM · $1.1B to $1.3BOct 9, 2025 to Feb 23, 2026
- HNW RAUM · $1.0B to $1.2BOct 9, 2025 to Feb 23, 2026
- Individual RAUM · $89.4M to $89.6MOct 9, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $64.5M to $63.6MOct 9, 2025 to Feb 23, 2026
- Pension RAUM · $2.7M to $2.4MOct 9, 2025 to Feb 23, 2026
- RAUM · $1.1B to $1.3BOct 9, 2025 to Feb 23, 2026
- Financial planning clients · 101-250 to 101-250Mar 16, 2025 to Jun 11, 2025
- Accounts · 1,901 to 2,085Oct 8, 2024 to Mar 16, 2025
- Charity clients · 10 to 11Oct 8, 2024 to Mar 16, 2025
- HNW clients · 229 to 236Oct 8, 2024 to Mar 16, 2025
- Individual clients · 284 to 311Oct 8, 2024 to Mar 16, 2025
- Assets in custody · $657M to $763MOct 8, 2024 to Mar 16, 2025
- Discretionary RAUM · $917M to $1.1BOct 8, 2024 to Mar 16, 2025
- HNW RAUM · $873M to $1.0BOct 8, 2024 to Mar 16, 2025
- Individual RAUM · $72.6M to $89.4MOct 8, 2024 to Mar 16, 2025
- Non-discretionary RAUM · $64.2M to $64.5MOct 8, 2024 to Mar 16, 2025
- Pension RAUM · $2.2M to $2.7MOct 8, 2024 to Mar 16, 2025
- RAUM · $981M to $1.1BOct 8, 2024 to Mar 16, 2025
- Accounts · 1,816 to 1,901Oct 19, 2023 to Mar 14, 2024
- Advisory employees · 3 to 4Oct 19, 2023 to Mar 14, 2024
- Advisory activities · 5 to 4Oct 19, 2023 to Mar 14, 2024
- Charity clients · 7 to 10Oct 19, 2023 to Mar 14, 2024
- HNW clients · 228 to 229Oct 19, 2023 to Mar 14, 2024
- Individual clients · 275 to 284Oct 19, 2023 to Mar 14, 2024
- Assets in custody · $535M to $657MOct 19, 2023 to Mar 14, 2024
- State-registered IARs · 3 to 4Oct 19, 2023 to Mar 14, 2024
- Discretionary RAUM · $743M to $917MOct 19, 2023 to Mar 14, 2024
- HNW RAUM · $720M to $873MOct 19, 2023 to Mar 14, 2024
- Individual RAUM · $59.9M to $72.6MOct 19, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $63.2M to $64.2MOct 19, 2023 to Mar 14, 2024
- Pension RAUM · $1.7M to $2.2MOct 19, 2023 to Mar 14, 2024
- RAUM · $806M to $981MOct 19, 2023 to Mar 14, 2024
- Accounts · 1,859 to 1,816May 16, 2022 to Mar 3, 2023
Signals
1 dated events
- Henry J••• Swope (Member) no longer on Schedule A of S••••••••• C•••••• A•••••••• L•• (listed 2021-03-16, absent 2021-12-01)Dec 1, 2021 · Control person left · inference
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
- 610-848-6760reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S•••••••••ADV.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-848-6760reportedpublic record, Form ADV, May 14, 2026
- Contact form
- captrust.com/contact-usreportedpublished 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
- $336Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026