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

P••••••• S•••••••• W••••• M••••••••• L•••

Independent wealth managerKing Of Prussia, PennsylvaniaCRD 155652SEC 801-131686IAPD
Latest filing Jan 5, 2026
First filing on the tape Nov 22, 2024 · 5 filings
SEC status approved since Jan 16, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$146M as of Jan 5, 2026
Jan 15, 2025$122M then
HNW client RAUM$146M as of Jan 5, 2026
Jan 15, 2025$122M then
State-registered IARs (5.B.3)2 as of Jan 5, 2026
Jan 15, 20252 then
Employees (5.A)2 as of Jan 5, 2026
Jan 15, 20252 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 5, 2026; every figure names its basis
Archetypes, each a printed rule
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
RAUM per advisor
$73.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$292,385derivedHNW RAUM over HNW clients
Average account
$292,385derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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$146M100%
Individual clients
n/areported
HNW clients
501reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
501reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• M••••••••King Of Prussia, PaFeb 24, 201121 y2
M•••••• A•••••• P•••••• S••••••Certified Financial PlannerKing Of Prussia, PaFeb 25, 201123 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••••• T••••• · Partnercontrol
      since 10/2010 · owns 50% to 75%
    • S••••••• M••••••• A•••••• P•••••• · Partner, Ccocontrol
      since 10/2010 · 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
    King Of Prussia, Pa · principal200
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 728 to 501
      May 28, 2025 to Jan 5, 2026
    • HNW clients · 728 to 501
      May 28, 2025 to Jan 5, 2026
    • Discretionary RAUM · $122M to $146M
      May 28, 2025 to Jan 5, 2026
    • HNW RAUM · $122M to $146M
      May 28, 2025 to Jan 5, 2026
    • RAUM · $122M to $146M
      May 28, 2025 to Jan 5, 2026
    • Financial planning clients · 51-100 to 51-100
      Feb 21, 2025 to May 28, 2025
    Signals
    1 dated events
    • P••••••• S•••••••• W••••• M••••••••• L••• filed its initial SEC registration (Form ADV)
      Nov 22, 2024 · 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
    267-221-6305reportedpublic record, Form ADV, Jan 5, 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
    $73.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026