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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Former SEC-registered adviser
C••••••• A•••• M•••••••••
Legal name C••••••• A•••• M••••••••• L••
Latest filing Jan 7, 2025
First filing on the tape Jan 6, 2012 · 17 filings
SEC status approved since Mar 4, 2011
RAUM
$241M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$241M as of Jan 7, 2025
Jan 6, 2012$466M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 7, 2025
Jan 6, 20120 then
Employees (5.A)1 as of Jan 7, 2025
Jan 16, 20131 then
Private funds: no history
RAUM +4.4% over the last fiscal year-0.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 7, 2025; every figure names its basis
- RAUM per advisor
- $241MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $121MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.4%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, fixed feesreportedItem 5.E
- Advisory activities
- 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Banks and thrifts$241M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- J••• A••••• S••••• to I••••••••• P••••••••• I•••Oct 1, 2025 · Other
Joined, latest
- J••• A••••• S••••• from A•••• M••••••••• P•••••••• L••Mar 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J•••• A••••• · Sole Member/ Chief Compliance Officercontrolsince 09/2010 · 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 |
|---|---|---|---|---|---|
| Schnecksville, Pa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · unset to Jan 9, 2024 to Jan 7, 2025
- HQ state · unset to Jan 9, 2024 to Jan 7, 2025
- Non-discretionary RAUM · $231M to $241MJan 9, 2024 to Jan 7, 2025
- RAUM · $231M to $241MJan 9, 2024 to Jan 7, 2025
- Discretionary RAUM · $237M to $0Jul 14, 2023 to Jan 9, 2024
- Non-discretionary RAUM · $0 to $231MJul 14, 2023 to Jan 9, 2024
- RAUM · $237M to $231MJul 14, 2023 to Jan 9, 2024
- HQ city · BETHLEHEM to unsetJan 10, 2023 to Jul 14, 2023
- HQ state · PA to unsetJan 10, 2023 to Jul 14, 2023
- Discretionary RAUM · $0 to $237MJan 12, 2022 to Jan 10, 2023
- Non-discretionary RAUM · $247M to $0Jan 12, 2022 to Jan 10, 2023
- RAUM · $247M to $237MJan 12, 2022 to Jan 10, 2023
- Financial planning clients · unset to 0Nov 19, 2021 to Jan 12, 2022
- Non-discretionary RAUM · $193M to $247MNov 19, 2021 to Jan 12, 2022
- RAUM · $193M to $247MNov 19, 2021 to Jan 12, 2022
- Related broker-dealer · false to trueNov 19, 2021 to Jan 12, 2022
- Non-discretionary RAUM · $250M to $193MJan 6, 2020 to Jan 5, 2021
- RAUM · $250M to $193MJan 6, 2020 to Jan 5, 2021
- Non-discretionary RAUM · $201M to $250MJan 8, 2019 to Jan 6, 2020
- RAUM · $201M to $250MJan 8, 2019 to Jan 6, 2020
- Accounts · 3 to 2Dec 26, 2018 to Jan 8, 2019
- Non-discretionary RAUM · $307M to $201MDec 26, 2018 to Jan 8, 2019
- RAUM · $307M to $201MDec 26, 2018 to Jan 8, 2019
- Accounts · 4 to 3Jan 18, 2017 to Jan 9, 2018
- Other offices · unset to 0.0Jan 18, 2017 to Jan 9, 2018
- Non-discretionary RAUM · $599M to $307MJan 18, 2017 to Jan 9, 2018
- RAUM · $599M to $307MJan 18, 2017 to Jan 9, 2018
- Non-discretionary RAUM · $498M to $599MJan 13, 2016 to Jan 18, 2017
- RAUM · $498M to $599MJan 13, 2016 to Jan 18, 2017
- Non-discretionary RAUM · $500M to $498MJan 8, 2015 to Jan 13, 2016
- RAUM · $500M to $498MJan 8, 2015 to Jan 13, 2016
- Non-discretionary RAUM · $508M to $500MJan 10, 2014 to Jan 8, 2015
- RAUM · $508M to $500MJan 10, 2014 to Jan 8, 2015
- Non-discretionary RAUM · $480M to $508MJan 16, 2013 to Jan 10, 2014
- RAUM · $480M to $508MJan 16, 2013 to Jan 10, 2014
- Accounts · 5 to 4Jan 6, 2012 to Jan 16, 2013
- Advisory employees · unset to 1.0Jan 6, 2012 to Jan 16, 2013
- BD registered reps · unset to 1.0Jan 6, 2012 to Jan 16, 2013
- Employees · unset to 1.0Jan 6, 2012 to Jan 16, 2013
- HQ city · ALLENTOWN to BETHLEHEMJan 6, 2012 to Jan 16, 2013
Signals
4 dated events
- C••••••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $241.3M)Dec 20, 2025 · Left the SEC roster · derived
- J••• A••••• S••••• left C••••••• A•••• M••••••••• for I••••••••• P••••••••• I••• (registered 2012-06-29)Oct 1, 2025 · Advisor changed firm · fact
- C••••••• A•••• M••••••••• reported RAUM $200.8M, down 35% from $306.8M (2018-12-26 to 2019-01-08)Jan 8, 2019 · RAUM change · derived
- C••••••• A•••• M••••••••• reported RAUM $306.8M, down 49% from $598.6M (2017-01-18 to 2018-01-09)Jan 9, 2018 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026