DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R••••• C•••••• M••••••••• L••

Independent wealth managerWayne, PennsylvaniaCRD 159559SEC 801-77308website IAPD

Latest filing Sep 17, 2026

First filing on the tape Nov 15, 2011 · 37 filings

SEC status approved since Dec 7, 2012

RAUM

$855M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$847M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$171M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

37 filings and snapshots on the tape

RAUM$855M as of Mar 16, 2026

Mar 30, 2012$0 then

HNW client RAUM$747M as of Mar 16, 2026

Feb 27, 2018$489M then

State-registered IARs (5.B.3)4 as of Mar 16, 2026

Feb 26, 20132 then

Employees (5.A)8 as of Mar 16, 2026

Feb 26, 20135 then

Private funds: no history

RAUM +8.7% over the last fiscal year+14% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Sep 17, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 38derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $9.3MderivedHNW RAUM over HNW clients
Average account: $1.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.6derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +8.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +12%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $33.8M, 13 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)
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$747M87%
Individuals$100.0M12%
Charitable organizations$4.4M0.5%
Corporations and businesses$3.9M0.5%

Individual clients: 112reported
HNW clients: 80reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 450reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $33.8M for 13 clientsreported
Compensation: % of AUM, fixedreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D•••••• H• P•••	Wayne, Pa	Apr 30, 2012	14 y	0
P••••• A•••••	Wayne, Pa	Sep 10, 2012	45 y	0
J••••••• L•• B••••Chartered Financial Analyst	Wayne, Pa	Apr 28, 2015	46 y	0
J••• A• G•••••••Chartered Financial Analyst	Wayne, Pa	Jun 23, 2020	16 y	1
J•••• E•••• G••••Chartered Financial Analyst	Wayne, Pa	Apr 2, 2024	13 y	0

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

J••• A• G••••••• from S•••••• C•••••• M••••••••• L••
Jun 23, 2020 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• P••••• · Partner / Managing Membercontrol
since 09/2012 · owns 50% to 75%
P•••• D••••••• H• · Partner / Managing Memebercontrol
since 10/2011 · owns 25% to 50%
G•••••• M••• E•••• · Cco
since 08/2021 · owns less than 5%

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
Wayne, Pa · principal	5	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to 0
Mar 16, 2026 to Sep 14, 2026
Related adviser · false to unset
Mar 16, 2026 to Sep 14, 2026
Related bank · false to unset
Mar 16, 2026 to Sep 14, 2026
Related broker-dealer · false to unset
Mar 16, 2026 to Sep 14, 2026
Related insurance company · false to unset
Mar 16, 2026 to Sep 14, 2026
Succession · false to unset
Mar 16, 2026 to Sep 14, 2026
Accounts · 453 to 450
Oct 23, 2025 to Mar 16, 2026
Charity clients · 5.0 to unset
Oct 23, 2025 to Mar 16, 2026
HNW clients · 100 to 80
Oct 23, 2025 to Mar 16, 2026
Individual clients · 72 to 112
Oct 23, 2025 to Mar 16, 2026
Assets in custody · $34.6M to $33.8M
Oct 23, 2025 to Mar 16, 2026
Discretionary RAUM · $787M to $855M
Oct 23, 2025 to Mar 16, 2026
HNW RAUM · $734M to $747M
Oct 23, 2025 to Mar 16, 2026
Individual RAUM · $45.5M to $100.0M
Oct 23, 2025 to Mar 16, 2026
RAUM · $787M to $855M
Oct 23, 2025 to Mar 16, 2026
Financial planning clients · 0 to 0
Aug 19, 2025 to Oct 23, 2025
Accounts · 405 to 453
Oct 9, 2024 to Feb 20, 2025
Advisory employees · 6 to 5
Oct 9, 2024 to Feb 20, 2025
Charity clients · unset to 5.0
Oct 9, 2024 to Feb 20, 2025
HNW clients · 13 to 100
Oct 9, 2024 to Feb 20, 2025
Individual clients · 161 to 72
Oct 9, 2024 to Feb 20, 2025
Assets in custody · $203M to $34.6M
Oct 9, 2024 to Feb 20, 2025
Employees · 7 to 8
Oct 9, 2024 to Feb 20, 2025
State-registered IARs · 5 to 4
Oct 9, 2024 to Feb 20, 2025
Discretionary RAUM · $709M to $787M
Oct 9, 2024 to Feb 20, 2025
HNW RAUM · $344M to $734M
Oct 9, 2024 to Feb 20, 2025
Individual RAUM · $353M to $45.5M
Oct 9, 2024 to Feb 20, 2025
RAUM · $709M to $787M
Oct 9, 2024 to Feb 20, 2025
Accounts · 335 to 405
Sep 21, 2023 to Mar 25, 2024
Advisory employees · 5 to 6
Sep 21, 2023 to Mar 25, 2024
HNW clients · 104 to 13
Sep 21, 2023 to Mar 25, 2024
Individual clients · 44 to 161
Sep 21, 2023 to Mar 25, 2024
Assets in custody · $236M to $203M
Sep 21, 2023 to Mar 25, 2024
State-registered IARs · 4 to 5
Sep 21, 2023 to Mar 25, 2024
Discretionary RAUM · $577M to $709M
Sep 21, 2023 to Mar 25, 2024
HNW RAUM · $477M to $344M
Sep 21, 2023 to Mar 25, 2024
Individual RAUM · $96.4M to $353M
Sep 21, 2023 to Mar 25, 2024
RAUM · $577M to $709M
Sep 21, 2023 to Mar 25, 2024
Accounts · 271 to 335
Sep 22, 2022 to Mar 7, 2023
HNW clients · 81 to 104
Sep 22, 2022 to Mar 7, 2023

Signals

1 dated events

R••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Oct 24, 2012 · 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

Business email: j••••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: e••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: m••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business email: l••••••@r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 484-427-5145reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 484-584-4882reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 484-584-4883reportedpublished by the firm, firm site, Sep 15, 2026
Website: R•••••CM.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (610) 674-0400reportedpublic record, Form ADV, Sep 17, 2026
Contact form: r•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
Team page: r•••••••.comreportedpublished by the firm, firm site, Sep 15, 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: $171Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026