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•••• A•••• M••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Mar 31, 2012 · 11 filings
SEC status approved since Apr 22, 2022
RAUM
$159M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
94%
$149M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$159M as of Feb 26, 2026
Mar 31, 2012$172M then
HNW client RAUM$145M as of Feb 26, 2026
Feb 16, 2023$103M then
State-registered IARs (5.B.3)1 as of Feb 26, 2026
Mar 31, 20120 then
Employees (5.A)1 as of Feb 26, 2026
Feb 16, 20231 then
Private funds: no history
RAUM +6.1% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 26, 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
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $714,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M91%
- Corporations and businesses$6.3M3.9%
- Individuals$4.5M2.8%
- Insurance companies$3.9M2.5%
- Individual clients
- 11reported
- HNW clients
- 63reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 223reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| T•••••• N••• D•••• | Lancaster, Pa | Dec 9, 2009 | 32 y | 2 |
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
- A•••••••• A••••••• M•••••• to M•••••• I••••••••• L••May 29, 2012 · Other
- A•••••••• A••••••• M•••••• to M•••••• I••••••••• L••Apr 26, 2012 · Other
Joined, latest
- A•••••••• A••••••• M•••••• from D••••••• M••••••• W••••• • B••••••• L••Dec 14, 2010 · Other
- T•••••• N••• D•••• from D••••••• M••••••• W••••• • B••••••• L••Dec 9, 2009 · Other
- A•••••••• A••••••• M•••••• from D••••••• M••••••• W••••• • B••••••• L••Dec 9, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• T••••••• N••• · Member & Chief Compliance Officercontrolsince 11/2009 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 221 to 223Mar 14, 2025 to Feb 26, 2026
- HNW clients · 61 to 63Mar 14, 2025 to Feb 26, 2026
- Discretionary RAUM · $142M to $151MMar 14, 2025 to Feb 26, 2026
- HNW RAUM · $136M to $145MMar 14, 2025 to Feb 26, 2026
- Individual RAUM · $4.2M to $4.5MMar 14, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $7.6M to $8.0MMar 14, 2025 to Feb 26, 2026
- RAUM · $150M to $159MMar 14, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $8.2M to $7.6MJan 31, 2024 to Mar 14, 2025
- RAUM · $127M to $150MJan 31, 2024 to Mar 14, 2025
- Accounts · 216 to 221Jan 31, 2024 to Mar 14, 2025
- HNW clients · 59 to 61Jan 31, 2024 to Mar 14, 2025
- Financial planning clients · unset to Jan 31, 2024 to Mar 14, 2025
- Discretionary RAUM · $119M to $142MJan 31, 2024 to Mar 14, 2025
- HNW RAUM · $114M to $136MJan 31, 2024 to Mar 14, 2025
- Individual RAUM · $4.0M to $4.2MJan 31, 2024 to Mar 14, 2025
- Accounts · 206 to 216Feb 16, 2023 to Jan 31, 2024
- HNW clients · 55 to 59Feb 16, 2023 to Jan 31, 2024
- Individual clients · 10 to 11Feb 16, 2023 to Jan 31, 2024
- Discretionary RAUM · $106M to $119MFeb 16, 2023 to Jan 31, 2024
- HNW RAUM · $103M to $114MFeb 16, 2023 to Jan 31, 2024
- Individual RAUM · $3.7M to $4.0MFeb 16, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $9.1M to $8.2MFeb 16, 2023 to Jan 31, 2024
- RAUM · $116M to $127MFeb 16, 2023 to Jan 31, 2024
- Accounts · 204 to 206May 6, 2022 to Feb 16, 2023
- Charity clients · 1 to 0May 6, 2022 to Feb 16, 2023
- HNW clients · 53 to 55May 6, 2022 to Feb 16, 2023
- Discretionary RAUM · $108M to $106MMay 6, 2022 to Feb 16, 2023
- HNW RAUM · $104M to $103MMay 6, 2022 to Feb 16, 2023
- Individual RAUM · $4.0M to $3.7MMay 6, 2022 to Feb 16, 2023
- Non-discretionary RAUM · $9.2M to $9.1MMay 6, 2022 to Feb 16, 2023
- RAUM · $117M to $116MMay 6, 2022 to Feb 16, 2023
- Accounts · 58 to 204Jun 22, 2012 to Mar 23, 2022
- Advisory employees · unset to 1.0Jun 22, 2012 to Mar 23, 2022
- Advisory activities · 1 to 2Jun 22, 2012 to Mar 23, 2022
- Charity clients · unset to 1.0Jun 22, 2012 to Mar 23, 2022
- Corporate clients · unset to 6.0Jun 22, 2012 to Mar 23, 2022
- HNW clients · unset to 53.0Jun 22, 2012 to Mar 23, 2022
- Individual clients · unset to 10.0Jun 22, 2012 to Mar 23, 2022
- Pension plan clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- Pooled vehicle clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
Signals
1 dated events
- A•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 23, 2022 · 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
- Principal office phone
- 717-435-9386reportedpublic record, Form ADV, Feb 26, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026