DFX Intelligence

RIA Intelligence

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SEC-registered adviser

M••••••• A•••• M••••••••• L••

Wealth manager with institutional or fund businessCRD 154239SEC 801-132834IAPD
Latest filing Feb 17, 2026
First filing on the tape May 27, 2025 · 4 filings
SEC status approved since May 22, 2025
RAUM
$124M
reported, Item 5.F
Discretionary
24%
of RAUM
Private clients
40%
$50.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$62.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$124M as of Feb 17, 2026
May 27, 2025$114M then
HNW client RAUM$42.8M as of Feb 17, 2026
May 27, 2025$39.6M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
May 27, 20252 then
Employees (5.A)2 as of Feb 17, 2026
May 27, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
RAUM per advisor
$62.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
30derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
24%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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
  • Corporations and businesses$73.9M60%
  • High-net-worth individuals$42.8M35%
  • Individuals$7.3M5.9%
Individual clients
38reported
HNW clients
22reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
80reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.4 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•• M•••••• H•••••Bethlehem, PaAug 13, 201016 y0
S•••• M••••••• H••••Certified Financial Planner, Chartered Financial ConsultantBethlehem, PaAug 13, 201036 y0
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
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• J••• M•••••• · Co Managing Member And Ccocontrol
        since 04/2010 · owns 50% to 75%
      • H••••• S••••• M••••••• · Co Managing Membercontrol
        since 04/2010 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Bethlehem, Pa200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 68 to 80
        Sep 4, 2025 to Feb 17, 2026
      • Individual clients · 31 to 38
        Sep 4, 2025 to Feb 17, 2026
      • Discretionary RAUM · $26.0M to $29.7M
        Sep 4, 2025 to Feb 17, 2026
      • HNW RAUM · $39.6M to $42.8M
        Sep 4, 2025 to Feb 17, 2026
      • Individual RAUM · $5.3M to $7.3M
        Sep 4, 2025 to Feb 17, 2026
      • Non-discretionary RAUM · $88.4M to $94.3M
        Sep 4, 2025 to Feb 17, 2026
      • RAUM · $114M to $124M
        Sep 4, 2025 to Feb 17, 2026
      • Financial planning clients · 0 to 0
        Jun 4, 2025 to Sep 4, 2025
      Signals
      No event on the tape.
      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
      610-866-2224reportedpublic record, Form ADV, Feb 17, 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
      Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $62.0Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026