DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
C•• C•••••• M•••••••••
Legal name C•• C•••••• M••••••••• I•••
Latest filing Jun 2, 2026
First filing on the tape Jun 2, 2026 · 1 filings
RAUM
$73.6M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
55%
$40.6M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
- RAUM per advisor
- $73.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $669,020derivedHNW RAUM over HNW clients
- Average account
- $309,052derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $29.2M, 56 clientsreportedItem 9.A
- 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 custody of client cash or bank accounts (9.A.1.a)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$31.4M43%
- Pooled investment vehicles$29.2M40%
- Individuals$9.1M12%
- Corporations and businesses$3.8M5.1%
- Individual clients
- 69reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 238reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $29.2M for 56 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• C•• | Monroeville, Pa | Jan 3, 2011 | 25 y | 2 |
Advisor movement
Left, latest
- T•••••• L••••• to I•••••• A••••••• L••Aug 13, 2024 · Other
Joined, latest
- T•••••• L••••• from P•• W••••• M•••••••••Dec 23, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Monroeville, Pa · principal | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- T•••••• L••••• left C•• C•••••• M••••••••• for I•••••• A••••••• L•• (registered 2020-07-01)Aug 13, 2024 · Advisor changed firm · 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
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 412-825-4040reportedpublic record, Form ADV, Jun 2, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026