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••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Oct 3, 2024 · 6 filings
SEC status approved since Oct 31, 2024
RAUM
$139M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$139M as of Mar 31, 2026
Mar 27, 2025$125M then
HNW client RAUM$99.7M as of Mar 31, 2026
Mar 27, 2025$91.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 27, 20251 then
Employees (5.A)3 as of Mar 31, 2026
Mar 27, 20253 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 1 to 1offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 151derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $250,431derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$99.7M72%
- Individuals$39.0M28%
- Individual clients
- 114reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 554reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••••• C••••••Certified Financial Planner | Saint Louis, Mo | Feb 6, 2014 | 22 y | 3 |
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
- R••••• J••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 6, 2014 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• J••••• · Member, Founder & President, Chief Compliance Officercontrolsince 09/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Ardmore, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 533 to 554Sep 24, 2025 to Mar 31, 2026
- HNW clients · 31 to 37Sep 24, 2025 to Mar 31, 2026
- Individual clients · 123 to 114Sep 24, 2025 to Mar 31, 2026
- Other offices · 1 to 0Sep 24, 2025 to Mar 31, 2026
- Discretionary RAUM · $125M to $139MSep 24, 2025 to Mar 31, 2026
- HNW RAUM · $91.0M to $99.7MSep 24, 2025 to Mar 31, 2026
- Individual RAUM · $34.3M to $39.0MSep 24, 2025 to Mar 31, 2026
- RAUM · $125M to $139MSep 24, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Mar 27, 2025 to May 30, 2025
- Accounts · 535 to 533Oct 4, 2024 to Mar 27, 2025
- HNW clients · 30 to 31Oct 4, 2024 to Mar 27, 2025
- Individual clients · 114 to 123Oct 4, 2024 to Mar 27, 2025
- HQ city · unset to Oct 4, 2024 to Mar 27, 2025
- HQ state · unset to Oct 4, 2024 to Mar 27, 2025
- Discretionary RAUM · $118M to $125MOct 4, 2024 to Mar 27, 2025
- HNW RAUM · $61.1M to $91.0MOct 4, 2024 to Mar 27, 2025
- Individual RAUM · $56.8M to $34.3MOct 4, 2024 to Mar 27, 2025
- RAUM · $118M to $125MOct 4, 2024 to Mar 27, 2025
Signals
1 dated events
- M••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Oct 3, 2024 · 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
- 267-367-6077reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 267-367-6077reportedpublic record, Form ADV, Mar 31, 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