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••••••• P•••••••• L••

Former SEC-registered adviserBethlehem, PennsylvaniaCRD 158681SEC 801-72703IAPD
Latest filing Mar 22, 2022
First filing on the tape Nov 17, 2011 · 31 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
94%
$1.0B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.1B as of Feb 21, 2022
Feb 7, 2012$200M then
HNW client RAUM$1.0B as of Feb 21, 2022
Mar 30, 2018$414M then
State-registered IARs (5.B.3)5 as of Feb 21, 2022
Mar 25, 20133 then
Employees (5.A)10 as of Feb 21, 2022
Mar 25, 20137 then
Private funds: no history
RAUM +92% over the last fiscal year+43% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 22, 2022; every figure names its basis
RAUM per advisor
$278MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.4MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+92%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.2%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$294M, 93 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 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.0B91%
  • Corporations and businesses$62.2M5.6%
  • Individuals$32.5M2.9%
  • Pension and profit-sharing plans$3.6M0.3%
Individual clients
89reported
HNW clients
137reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,031reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$294M for 93 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• A•••••• R••• · Director Of Operationscontrol
      since 01/2020 · owns less than 5%
    • B••••• M••• · Partner/Portfolio Managercontrol
      since 12/2021 · owns less than 5%
    • G•••••••• B•••• L•• J•••• · Managing Partnercontrol
      since 01/2021 · owns 50% to 75%
    • S••••••• M•••••• · Chief Compliance Officercontrol
      since 01/2020 · owns less than 5%
    • V••••••• W••••••• K•••••• · Partnercontrol
      since 01/2021 · owns 25% to 50%
    • B••••••• A••••••• M•••••• · Partner
      since 12/2018 · owns less than 5%
    Related persons
    Schedule D 7.A
    • C•••••••• M••••• • C•• P•••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 5 to 4
      Mar 10, 2022 to Mar 17, 2022
    • Employees · 10 to 9
      Mar 10, 2022 to Mar 17, 2022
    • State-registered IARs · 5 to 4
      Mar 10, 2022 to Mar 17, 2022
    • Other offices · 0 to 1
      Mar 10, 2022 to Mar 17, 2022
    • Accounts · 973 to 1,031
      May 5, 2021 to Feb 21, 2022
    • Advisory employees · 4 to 5
      May 5, 2021 to Feb 21, 2022
    • HNW clients · 115 to 137
      May 5, 2021 to Feb 21, 2022
    • Individual clients · 104 to 89
      May 5, 2021 to Feb 21, 2022
    • Assets in custody · $79.0M to $294M
      May 5, 2021 to Feb 21, 2022
    • Employees · 8 to 10
      May 5, 2021 to Feb 21, 2022
    • State-registered IARs · 4 to 5
      May 5, 2021 to Feb 21, 2022
    • Discretionary RAUM · $572M to $1.1B
      May 5, 2021 to Feb 21, 2022
    • HNW RAUM · $495M to $1.0B
      May 5, 2021 to Feb 21, 2022
    • Individual RAUM · $38.4M to $32.5M
      May 5, 2021 to Feb 21, 2022
    • Non-discretionary RAUM · $5.9M to $14.0M
      May 5, 2021 to Feb 21, 2022
    • Pension RAUM · $2.9M to $3.6M
      May 5, 2021 to Feb 21, 2022
    • RAUM · $578M to $1.1B
      May 5, 2021 to Feb 21, 2022
    • Accounts · 920 to 973
      Oct 13, 2020 to Feb 22, 2021
    • Advisory employees · 5 to 4
      Oct 13, 2020 to Feb 22, 2021
    • Corporate clients · 13 to 15
      Oct 13, 2020 to Feb 22, 2021
    • HNW clients · 113 to 115
      Oct 13, 2020 to Feb 22, 2021
    • Individual clients · 107 to 104
      Oct 13, 2020 to Feb 22, 2021
    • Assets in custody · $43.8M to $79.0M
      Oct 13, 2020 to Feb 22, 2021
    • Financial planning clients · 51-100 to 101-250
      Oct 13, 2020 to Feb 22, 2021
    • State-registered IARs · 5 to 4
      Oct 13, 2020 to Feb 22, 2021
    • Discretionary RAUM · $507M to $572M
      Oct 13, 2020 to Feb 22, 2021
    • HNW RAUM · $447M to $495M
      Oct 13, 2020 to Feb 22, 2021
    • Individual RAUM · $36.7M to $38.4M
      Oct 13, 2020 to Feb 22, 2021
    • Non-discretionary RAUM · $2.6M to $5.9M
      Oct 13, 2020 to Feb 22, 2021
    • Pension RAUM · $2.5M to $2.9M
      Oct 13, 2020 to Feb 22, 2021
    • RAUM · $510M to $578M
      Oct 13, 2020 to Feb 22, 2021
    • Accounts · 854 to 920
      Oct 9, 2019 to Mar 20, 2020
    • Advisory employees · 4 to 5
      Oct 9, 2019 to Mar 20, 2020
    • Corporate clients · 8 to 13
      Oct 9, 2019 to Mar 20, 2020
    • HNW clients · 94 to 113
      Oct 9, 2019 to Mar 20, 2020
    • Individual clients · 121 to 107
      Oct 9, 2019 to Mar 20, 2020
    • Assets in custody · $43.9M to $43.8M
      Oct 9, 2019 to Mar 20, 2020
    • Employees · 9 to 8
      Oct 9, 2019 to Mar 20, 2020
    • State-registered IARs · 4 to 5
      Oct 9, 2019 to Mar 20, 2020
    • Discretionary RAUM · $374M to $507M
      Oct 9, 2019 to Mar 20, 2020
    Signals
    10 dated events
    • D•••• G••••• G••••• left C••••••• P•••••••• L•• for M•••••• (registered 2022-07-01)
      Sep 1, 2022 · Advisor changed firm · fact
    • M••• B•••• left C••••••• P•••••••• L•• for M•••••• (registered 2022-07-05)
      Sep 1, 2022 · Advisor changed firm · fact
    • W•••••• K•••••• V•••••• left C••••••• P•••••••• L•• for M•••••• (registered 2022-07-01)
      Sep 1, 2022 · Advisor changed firm · fact
    • C••••••• P•••••••• L••'s advisors moved to M•••••• (Bethlehem, PA): 3 of 3 registered, on the same day
      Sep 1, 2022 · Firm absorbed (people side) · derived
    • C••••••• P•••••••• L•• reported RAUM $1.1B, up 92% from $577.7M (2021-05-05 to 2022-02-21)
      Feb 21, 2022 · RAUM change · derived
    • M••• B•••• (Partner/Portfolio Manager) appeared on Schedule A of C••••••• P•••••••• L••
      Feb 21, 2022 · Control person joined · fact
    • K•••••• W•••••• V•••••• (Partner) appeared on Schedule A of C••••••• P•••••••• L••
      Feb 22, 2021 · Control person joined · fact
    • C••••••• P•••••••• L•• reported RAUM $509.7M, up 34% from $379.0M (2019-10-09 to 2020-03-20)
      Mar 20, 2020 · RAUM change · derived
    • Melanie Strange (Chief Compliance Officer) appeared on Schedule A of C••••••• P•••••••• L••
      Mar 20, 2020 · Control person joined · fact
    • Rose Ashley Balash (Director Of Operations) appeared on Schedule A of C••••••• P•••••••• L••
      Mar 20, 2020 · Control person joined · fact
    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