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
O••• C••••••
Legal name R•• W••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jun 18, 2020 · 11 filings
SEC status approved since Jul 21, 2020
RAUM
$398M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$398M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$398M
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
11 filings and snapshots on the tape
RAUM$398M as of Mar 30, 2026
Mar 30, 2021$302M then
HNW client RAUM$320M as of Mar 30, 2026
Mar 30, 2021$53.0M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 30, 20213 then
Employees (5.A)3 as of Mar 30, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +10% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- $398MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 158derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.0MderivedHNW RAUM over HNW clients
- Average account
- $559,403derivedRAUM 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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M81%
- Individuals$77.4M19%
- Individual clients
- 94reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 711reported
- Financial planning clients
- 101-250reported
- 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 |
|---|---|---|---|---|
| M••• A••••• S•••• | Dillsburg, Pa | Nov 8, 2012 | 20 y | 1 |
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 headcount1 left over 36 months
Left, latest
- R•••• A••• R••• to C•••• C•••• T•••• C••••••Dec 22, 2023 · RIA to RIA
Joined, latest
- R•••• A••• R••• from M•••• I••••••••• A••••••• S••••••• I••Jul 3, 2020 · RIA to RIA
- M••• A••••• S•••• from H•••• K••••• I••••••••• M••••••••• L•••••Nov 8, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• M•••• A••••• · Chief Compliance Officer & Principal Membercontrolsince 10/2012 · 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 |
|---|---|---|---|---|---|
| Dillsburg, Pa · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 720 to 711Mar 26, 2025 to Mar 30, 2026
- Charity clients · 1.0 to unsetMar 26, 2025 to Mar 30, 2026
- HNW clients · 63 to 64Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $360M to $398MMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $298M to $320MMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $54.9M to $77.4MMar 26, 2025 to Mar 30, 2026
- RAUM · $360M to $398MMar 26, 2025 to Mar 30, 2026
- Accounts · 700 to 720Mar 28, 2024 to Mar 26, 2025
- HNW clients · 67 to 63Mar 28, 2024 to Mar 26, 2025
- Individual clients · 90 to 94Mar 28, 2024 to Mar 26, 2025
- Employees · 2 to 3Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $329M to $360MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $290M to $298MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $33.2M to $54.9MMar 28, 2024 to Mar 26, 2025
- RAUM · $329M to $360MMar 28, 2024 to Mar 26, 2025
- Accounts · 693 to 700Mar 27, 2023 to Mar 28, 2024
- Advisory employees · 2 to 1Mar 27, 2023 to Mar 28, 2024
- Individual clients · 88 to 90Mar 27, 2023 to Mar 28, 2024
- Employees · 3 to 2Mar 27, 2023 to Mar 28, 2024
- State-registered IARs · 2 to 1Mar 27, 2023 to Mar 28, 2024
- Discretionary RAUM · $293M to $329MMar 27, 2023 to Mar 28, 2024
- HNW RAUM · $260M to $290MMar 27, 2023 to Mar 28, 2024
- Individual RAUM · $27.6M to $33.2MMar 27, 2023 to Mar 28, 2024
- RAUM · $293M to $329MMar 27, 2023 to Mar 28, 2024
- Accounts · 710 to 693Mar 23, 2022 to Mar 27, 2023
- HNW clients · 70 to 67Mar 23, 2022 to Mar 27, 2023
- Individual clients · 89 to 88Mar 23, 2022 to Mar 27, 2023
- Discretionary RAUM · $372M to $293MMar 23, 2022 to Mar 27, 2023
- HNW RAUM · $321M to $260MMar 23, 2022 to Mar 27, 2023
- Individual RAUM · $43.9M to $27.6MMar 23, 2022 to Mar 27, 2023
- RAUM · $372M to $293MMar 23, 2022 to Mar 27, 2023
- Accounts · 627 to 710Oct 18, 2021 to Mar 23, 2022
- Advisory employees · 3 to 2Oct 18, 2021 to Mar 23, 2022
- Charity clients · unset to 1.0Oct 18, 2021 to Mar 23, 2022
- HNW clients · 99 to 70Oct 18, 2021 to Mar 23, 2022
- Individual clients · 50 to 89Oct 18, 2021 to Mar 23, 2022
- Employees · 4 to 3Oct 18, 2021 to Mar 23, 2022
- State-registered IARs · 3 to 2Oct 18, 2021 to Mar 23, 2022
- Other offices · 1 to 0Oct 18, 2021 to Mar 23, 2022
Signals
5 dated events
- Anthony Denis Osullivan (President And Principal Member) no longer on Schedule A of O••• C•••••• (listed 2023-03-27, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- R•••• A••• R••• left O••• C•••••• for C•••• C•••• T•••• C•••••• (registered 2024-01-18)Dec 22, 2023 · Advisor changed firm · fact
- Anthony Denis Osullivan (President And Principal Member) appeared on Schedule A of O••• C••••••Mar 30, 2021 · Control person joined · fact
- O••• C•••••• reported RAUM $277.2M, up 63% from $169.6M (2020-07-28 to 2020-10-15)Oct 15, 2020 · RAUM change · derived
- O••• C•••••• filed its initial SEC registration (Form ADV)Jun 18, 2020 · 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
- 717-601-0651reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- o•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 717.601.0651reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- o•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- o•••••••••.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
- $398Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026