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
I••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 9, 2013 · 71 filings
SEC status approved since Jan 2, 2014
RAUM
$1.4B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
81%
$1.1B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
1
reported on Schedule D
History
71 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Mar 31, 2014$342M then
HNW client RAUM$1.1B as of Mar 31, 2026
Mar 20, 2018$265M then
State-registered IARs (5.B.3)9 as of Mar 31, 2026
Mar 31, 20142 then
Employees (5.A)12 as of Mar 31, 2026
Mar 31, 20142 then
Private funds1 as of Mar 31, 2026
Feb 3, 20211 then
RAUM +22% over the last fiscal year+24% a year over threeIARs 9 to 9offices 5 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $3.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10.0%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 consulting, otherreportedItem 5.G
- Custody
- $335M, 172 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$1.1B79%
- Pension and profit-sharing plans$257M18%
- Individuals$17.7M1.3%
- Pooled investment vehicles$13.7M1.0%
- Individual clients
- 79reported
- HNW clients
- 307reported
- Pension plan clients
- 58reported
- Charitable clients
- 0reported
- Accounts
- 445reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $335M for 172 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.01 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• C••••• R•••••• | Conshohocken, Pa | Mar 22, 2011 | 15 y | 0 |
| S•••••• J••••• S•••• | Conshohocken, Pa | Aug 19, 2014 | 14 y | 0 |
| J•••• C•••••• M•••••••• | Conshohocken, Pa | Dec 2, 2016 | 21 y | 2 |
| B•••••• J•••• R•••• | Conshohocken, Pa | May 18, 2017 | 18 y | 0 |
| R•••• K•••••• | Conshohocken, Pa | Jul 9, 2020 | 11 y | 0 |
| M•••••• S•••• M•••••••• | Conshohocken, Pa | Aug 5, 2020 | 16 y | 0 |
| B•••• A••••• R••••••• | Conshohocken, Pa | Feb 26, 2021 | 10 y | 1 |
| C••• M•••••••• L•••••• | Conshohocken, Pa | Sep 13, 2022 | 10 y | 0 |
| D••••• P•••••• C•••••••Chartered Financial Analyst | Charleston, Sc | Dec 17, 2025 | 14 y | 5 |
| M•••••• D••••• R•••Certified Financial Planner | Conshohocken, Pa | May 4, 2026 | 14 y | 5 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- S••• A••••••• B••••• to M••••• S••••••Dec 22, 2020 · RIA to wirehouse
- J••••• D••••• to M••••• S••••••Dec 22, 2020 · RIA to wirehouse
- K•••••• D••••• to M••••• S••••••Dec 22, 2020 · RIA to wirehouse
- J••• G•••••• to M••••• S••••••Dec 22, 2020 · RIA to wirehouse
- K•••• S• D••• to M••••• S••••••Dec 22, 2020 · RIA to wirehouse
- P•••••• R••• D••••• to L••••• A•••••••• L••Jul 13, 2020 · RIA to RIA
- G••••••• J••••• D••••• to C••••••• M••••• L••Mar 27, 2018 · Other
- E••• W•••• S••••••• to V••• F•••••••• P•••••••• L••Aug 19, 2010 · Other
Joined, latest
- M•••••• D••••• R••• from K•••••• L••May 4, 2026 · RIA to RIA
- D••••• P•••••• C••••••• from S••••• F••••••••• L••Dec 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- B•••• A••••• R••••••• from S•• I••••••••• M••••••••• C•••Feb 26, 2021 · Other
- K•••• S• D••• from C••••••• M••••• L••Oct 8, 2018 · Other
- J•••• C•••••• M•••••••• from W•••••• P•••••• W•••••Dec 2, 2016 · Other
- G••••••• J••••• D••••• from A•• C•••••• M•••••••••Mar 17, 2016 · Other
- E••• W•••• S••••••• from A••••• A•• P••••••• S•••••••Jul 22, 2010 · Other
- S••• A••••••• B••••• from C••••• C•••••••• W••••• M••••••••• L•Jun 18, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for M••••• S••••••Dec 22, 2020 · Conshohocken, Pa
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• P•••••• E••••• P••••••• I• L• | Private Equity Fund | $13.7M | 31 | Feb 3, 2021 |
Owners and control persons
Schedule A and B, latest filing
- K••••••• R•••• · Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- R••••••• B•••••••• C••••• · Managing Partnercontrolsince 03/2011 · owns less than 5%
- R••••••• B•••••••• C••••• · Membercontrolsince 12/2017 · owns 75% or more of I••••••• F•• L••
Entity owners
- I••••••• F•• L•• · Memberdirect · 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 |
|---|---|---|---|---|---|
| Conshohocken, Pa · principal | 10 | 2 | 0 | ||
| C••••••Ton, Sc | 2 | 2 | 0 | ||
| Pittsburgh, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 413 to 445Mar 26, 2025 to Mar 31, 2026
- HNW clients · 303 to 307Mar 26, 2025 to Mar 31, 2026
- Individual clients · 48 to 79Mar 26, 2025 to Mar 31, 2026
- Pension plan clients · 61 to 58Mar 26, 2025 to Mar 31, 2026
- Assets in custody · $269M to $335MMar 26, 2025 to Mar 31, 2026
- Financial planning clients · 101-250 to 0Mar 26, 2025 to Mar 31, 2026
- Other offices · 5 to 6Mar 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.1B to $1.4BMar 26, 2025 to Mar 31, 2026
- HNW RAUM · $907M to $1.1BMar 26, 2025 to Mar 31, 2026
- Individual RAUM · $7.8M to $17.7MMar 26, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $17.2M to $21.8MMar 26, 2025 to Mar 31, 2026
- Pension RAUM · $219M to $257MMar 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12.3M to $13.7MMar 26, 2025 to Mar 31, 2026
- RAUM · $1.1B to $1.4BMar 26, 2025 to Mar 31, 2026
- Accounts · 355 to 413Nov 12, 2024 to Mar 26, 2025
- Advisory employees · 8 to 9Nov 12, 2024 to Mar 26, 2025
- HNW clients · 206 to 303Nov 12, 2024 to Mar 26, 2025
- Individual clients · 83 to 48Nov 12, 2024 to Mar 26, 2025
- Pension plan clients · 65 to 61Nov 12, 2024 to Mar 26, 2025
- Assets in custody · $220M to $269MNov 12, 2024 to Mar 26, 2025
- Employees · 11 to 12Nov 12, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Nov 12, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 9Nov 12, 2024 to Mar 26, 2025
- Discretionary RAUM · $840M to $1.1BNov 12, 2024 to Mar 26, 2025
- HNW RAUM · $638M to $907MNov 12, 2024 to Mar 26, 2025
- Individual RAUM · $21.6M to $7.8MNov 12, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $11.2M to $17.2MNov 12, 2024 to Mar 26, 2025
- Pension RAUM · $182M to $219MNov 12, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $9.6M to $12.3MNov 12, 2024 to Mar 26, 2025
- RAUM · $851M to $1.1BNov 12, 2024 to Mar 26, 2025
- Other offices · 4 to 5Nov 11, 2024 to Nov 12, 2024
- Accounts · 337 to 355May 26, 2023 to Mar 29, 2024
- HNW clients · 187 to 206May 26, 2023 to Mar 29, 2024
- Individual clients · 81 to 83May 26, 2023 to Mar 29, 2024
- Pension plan clients · 69 to 65May 26, 2023 to Mar 29, 2024
- Pooled vehicle clients · 0 to 1May 26, 2023 to Mar 29, 2024
- Assets in custody · $291M to $220MMay 26, 2023 to Mar 29, 2024
- Other offices · 5 to 4May 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $716M to $840MMay 26, 2023 to Mar 29, 2024
- HNW RAUM · $516M to $638MMay 26, 2023 to Mar 29, 2024
Signals
8 dated events
- I••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, up 35% from $851.0M (2024-11-12 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- I••••••• C•••••• M••••••••• L•• reported RAUM $764.9M, up 35% from $567.9M (2021-12-03 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- I••••••• C•••••• M••••••••• L•• reported RAUM $567.9M, down 55% from $1.3B (2020-08-10 to 2021-02-03)Feb 3, 2021 · RAUM change · derived
- Aloysius Sean Bergin (Member) no longer on Schedule A of I••••••• C•••••• M••••••••• L•• (listed 2020-08-10, absent 2021-02-03)Feb 3, 2021 · Control person left · inference
- P. Kevin Mullen (Member) no longer on Schedule A of I••••••• C•••••• M••••••••• L•• (listed 2020-08-10, absent 2021-02-03)Feb 3, 2021 · Control person left · inference
- I••••••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 38% from $914.0M (2019-04-09 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- I••••••• C•••••• M••••••••• L•• reported RAUM $780.6M, up 43% from $547.1M (2017-09-22 to 2018-03-20)Mar 20, 2018 · RAUM change · derived
- B•••••• R•••••• • C•• L•• filed its initial SEC registration (Form ADV)Dec 9, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- I••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@i•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 215-793-0111reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 305-646-1350reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ironviewreportedpublic record, Form ADV, Sep 19, 2026
- Website
- I•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 215-793-0111reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- i•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- i•••••••.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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026