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••••••••• A•••• A•••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Mar 26, 2012 · 20 filings
SEC status approved since Oct 13, 2010
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
16%
$358M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$730M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$2.2B as of Mar 24, 2026
Mar 26, 2012$542M then
HNW client RAUM$355M as of Mar 24, 2026
Mar 30, 2018$244M then
State-registered IARs (5.B.3)3 as of Mar 24, 2026
Mar 26, 20120 then
Employees (5.A)5 as of Mar 24, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +27% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
- RAUM per advisor
- $730MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.6MderivedHNW RAUM over HNW clients
- Average account
- $57.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$1.8B84%
- High-net-worth individuals$355M16%
- Individuals$3.7M0.2%
- Individual clients
- 7reported
- HNW clients
- 26reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 38reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.16 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• M•••• R•••••••• | Wynnewood, Pa | May 19, 2018 | 10 y | 0 |
| M••• S•••• D••• | Wynnewood, Pa | Aug 30, 2023 | 20 y | 1 |
| K•••• E•••••••• K••••• | Wynnewood, Pa | Mar 11, 2024 | 15 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
- M••• S•••• D••• from W•••• F•••• A•••••••Aug 30, 2023 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• K•••• R•••• · Chief Compliance Officercontrolsince 11/2010 · owns less than 5%
- K•••••• K••••• E•••••••• · Vice Presidentcontrolsince 11/2010 · owns less than 5%
- R••••••••• S••••• D•••• · President, Chief Investment Officer, And Managing Membercontrolsince 01/2010 · 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 |
|---|---|---|---|---|---|
| Wynnewood, Pa · principal | 3 | 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
- unusually large average HNW clientStatic outlier · filing Mar 24, 2026HNW RAUM per HNW client of $13,647,072 against a peer median of $2,743,240 (60 comparable advisers, 100.0th percentile, 6.0 robust deviations)peers: other advisers, $1B to $5B (60) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 36 to 38Mar 24, 2025 to Mar 24, 2026
- HNW clients · 25 to 26Mar 24, 2025 to Mar 24, 2026
- Individual clients · 6 to 7Mar 24, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 1-10Mar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.7B to $2.2BMar 24, 2025 to Mar 24, 2026
- HNW RAUM · $337M to $355MMar 24, 2025 to Mar 24, 2026
- Individual RAUM · $3.5M to $3.7MMar 24, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $1.2MMar 24, 2025 to Mar 24, 2026
- RAUM · $1.7B to $2.2BMar 24, 2025 to Mar 24, 2026
- Advisory activities · 3 to 4Mar 22, 2024 to Mar 24, 2025
- Corporate clients · 3 to 5Mar 22, 2024 to Mar 24, 2025
- HNW clients · 17 to 25Mar 22, 2024 to Mar 24, 2025
- Individual clients · 16 to 6Mar 22, 2024 to Mar 24, 2025
- Financial planning clients · unset to 0Mar 22, 2024 to Mar 24, 2025
- Discretionary RAUM · $1.7B to $1.7BMar 22, 2024 to Mar 24, 2025
- HNW RAUM · $401M to $337MMar 22, 2024 to Mar 24, 2025
- Individual RAUM · $5.4M to $3.5MMar 22, 2024 to Mar 24, 2025
- RAUM · $1.7B to $1.7BMar 22, 2024 to Mar 24, 2025
- Accounts · 26 to 36Mar 30, 2023 to Mar 22, 2024
- Advisory employees · 3 to 5Mar 30, 2023 to Mar 22, 2024
- HNW clients · 19 to 17Mar 30, 2023 to Mar 22, 2024
- Individual clients · 4 to 16Mar 30, 2023 to Mar 22, 2024
- State-registered IARs · 1 to 3Mar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.6B to $1.7BMar 30, 2023 to Mar 22, 2024
- HNW RAUM · $378M to $401MMar 30, 2023 to Mar 22, 2024
- Individual RAUM · $2.2M to $5.4MMar 30, 2023 to Mar 22, 2024
- RAUM · $1.6B to $1.7BMar 30, 2023 to Mar 22, 2024
- Accounts · 24 to 26Mar 28, 2022 to Mar 30, 2023
- Corporate clients · 0 to 3Mar 28, 2022 to Mar 30, 2023
- HNW clients · 17 to 19Mar 28, 2022 to Mar 30, 2023
- Individual clients · unset to 4.0Mar 28, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.7B to $1.6BMar 28, 2022 to Mar 30, 2023
- HNW RAUM · $388M to $378MMar 28, 2022 to Mar 30, 2023
- Individual RAUM · $747,544 to $2.2MMar 28, 2022 to Mar 30, 2023
- RAUM · $1.7B to $1.6BMar 28, 2022 to Mar 30, 2023
- Individual clients · 0.0 to unsetMay 13, 2021 to Mar 28, 2022
- Employees · 4 to 5May 13, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.4B to $1.7BMay 13, 2021 to Mar 28, 2022
- HNW RAUM · $378M to $388MMay 13, 2021 to Mar 28, 2022
- Individual RAUM · $0 to $747,544May 13, 2021 to Mar 28, 2022
Signals
2 dated events
- I••••••••• A•••• A•••••••• L•• reported RAUM $2.2B, up 27% from $1.7B (2025-03-24 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- I••••••••• A•••• A•••••••• L•• reported RAUM $1.4B, up 31% from $1.1B (2020-06-30 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
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
- Website
- IAADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 484-433-0848reportedpublic record, Form ADV, Mar 24, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $730Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026