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
C••••••••• F•••••••• G•••• W• L•
Legal name C••••••••• F•••••••• G•••• L•
Latest filing Mar 16, 2026
First filing on the tape Dec 14, 2011 · 29 filings
SEC status approved since Dec 2, 2019
RAUM
$249M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
93%
$231M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$41.6M
derived; firm RAUM over IAPD count
Employees
9
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$249M as of Mar 16, 2026
Mar 18, 2020$125M then
HNW client RAUM$145M as of Mar 16, 2026
Mar 18, 2020$55.8M then
State-registered IARs (5.B.3)6 as of Mar 16, 2026
Mar 18, 20206 then
Employees (5.A)9 as of Mar 16, 2026
Mar 18, 20207 then
Private funds: no history
RAUM +15% over the last fiscal year+16% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Mar 16, 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
- $41.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 216derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $191,332derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 71%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +45%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M58%
- Individuals$86.1M35%
- Charitable organizations$16.6M6.7%
- Corporations and businesses$1.5M0.6%
- Individual clients
- 1,252reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,303reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• W•••••• C•••• | Wilkes-Barre, Pa | Apr 17, 2012 | 40 y | 1 |
| R••••• A••••• D•••• | Wilkes-Barre, Pa | May 7, 2014 | 45 y | 2 |
| S••••• M•••••• D••••••••• | Wilkes-Barre, Pa | Jul 9, 2015 | 19 y | 1 |
| T••••• J•••• O•••• | Wilkes-Barre, Pa | Nov 15, 2016 | 10 y | 0 |
| J••• M•••• B••• | Wilkes-Barre, Pa | Nov 12, 2019 | 25 y | 2 |
| J•••• R••••• G••••••• | Wilkes-Barre, Pa | Nov 16, 2021 | 46 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 headcount1 left over 36 months
Left, latest
- T••• V•••••• E•••••• to J••••• C•••••• M••••••••• L••Mar 14, 2025 · RIA to RIA
- D••••• J••••• C•••••• to C•••••• P••••••• I••••••••• G•••• L••Oct 24, 2018 · Other
- T•••••• D••••• J••• to N••• C•••••••••May 7, 2015 · Other
- S••••• A••• W••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 6, 2014 · Other
Joined, latest
- J••• M•••• B••• from T•••••• W••••• A•••••••• I•••Nov 12, 2019 · RIA to RIA
- S••••• M•••••• D••••••••• from S••Jul 9, 2015 · Other
- T•••••• D••••• J••• from N••• C•••••••••Feb 11, 2015 · Other
- R••••• A••••• D•••• from P•••••••• M••••••••• N••••••• I••May 7, 2014 · Other
- D••••• J••••• C•••••• from G•••• L•••• A•••••••• L••Sep 12, 2012 · Other
- T••••••• W•••••• C•••• from M•• S••••••••• I•••Apr 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• T•••••••• W•••••• · President And Chief Compliance Officercontrolsince 03/2012 · owns 25% to 50%
- C••••• T•••••••• W•••••• · Managing Partnercontrolsince 03/2012 · owns 50% to 75% of W•••••• C•••••• P•••••••• L•
Entity owners
- W•••••• C•••••• P•••••••• L• · Holding Companydirect · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wilkesbarre, Pa | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Pittston, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,404 to 1,303Mar 14, 2025 to Mar 16, 2026
- Advisory employees · 8 to 6Mar 14, 2025 to Mar 16, 2026
- HNW clients · 37 to 46Mar 14, 2025 to Mar 16, 2026
- Individual clients · 857 to 1,252Mar 14, 2025 to Mar 16, 2026
- Employees · 8 to 9Mar 14, 2025 to Mar 16, 2026
- State-registered IARs · 8 to 6Mar 14, 2025 to Mar 16, 2026
- Discretionary RAUM · $179M to $176MMar 14, 2025 to Mar 16, 2026
- HNW RAUM · $109M to $145MMar 14, 2025 to Mar 16, 2026
- Individual RAUM · $96.6M to $86.1MMar 14, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $37.0M to $72.9MMar 14, 2025 to Mar 16, 2026
- RAUM · $216M to $249MMar 14, 2025 to Mar 16, 2026
- Financial planning clients · 0 to 0Mar 5, 2025 to Mar 14, 2025
- Accounts · 811 to 1,404Feb 21, 2024 to Mar 5, 2025
- HNW clients · 26 to 37Feb 21, 2024 to Mar 5, 2025
- Individual clients · 785 to 857Feb 21, 2024 to Mar 5, 2025
- Assets in custody · 1565192.0 to unsetFeb 21, 2024 to Mar 5, 2025
- Custody of client assets · true to falseFeb 21, 2024 to Mar 5, 2025
- Employees · 10 to 8Feb 21, 2024 to Mar 5, 2025
- Discretionary RAUM · $116M to $179MFeb 21, 2024 to Mar 5, 2025
- HNW RAUM · $85.8M to $109MFeb 21, 2024 to Mar 5, 2025
- Individual RAUM · $87.3M to $96.6MFeb 21, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $66.1M to $37.0MFeb 21, 2024 to Mar 5, 2025
- RAUM · $182M to $216MFeb 21, 2024 to Mar 5, 2025
- Accounts · 947 to 811Mar 8, 2023 to Feb 20, 2024
- Advisory employees · 7 to 8Mar 8, 2023 to Feb 20, 2024
- HNW clients · 34 to 26Mar 8, 2023 to Feb 20, 2024
- Individual clients · 742 to 785Mar 8, 2023 to Feb 20, 2024
- Assets in custody · $1.5M to $1.6MMar 8, 2023 to Feb 20, 2024
- Employees · 9 to 10Mar 8, 2023 to Feb 20, 2024
- State-registered IARs · 7 to 8Mar 8, 2023 to Feb 20, 2024
- Discretionary RAUM · $115M to $116MMar 8, 2023 to Feb 20, 2024
- HNW RAUM · $90.5M to $85.8MMar 8, 2023 to Feb 20, 2024
- Individual RAUM · $59.4M to $87.3MMar 8, 2023 to Feb 20, 2024
- Non-discretionary RAUM · $44.6M to $66.1MMar 8, 2023 to Feb 20, 2024
- RAUM · $159M to $182MMar 8, 2023 to Feb 20, 2024
- Accounts · 809 to 947Nov 16, 2022 to Mar 8, 2023
- Advisory employees · 5 to 7Nov 16, 2022 to Mar 8, 2023
- Charity clients · 2.0 to unsetNov 16, 2022 to Mar 8, 2023
- HNW clients · 38 to 34Nov 16, 2022 to Mar 8, 2023
- Individual clients · 387 to 742Nov 16, 2022 to Mar 8, 2023
Signals
3 dated events
- T••• V•••••• E•••••• left C••••••••• F•••••••• G•••• W• L• for J••••• C•••••• M••••••••• L•• (registered 2025-12-01)Mar 14, 2025 · Advisor changed firm · fact
- A••• S••••• W••••• (Chief Investment Officer) no longer on Schedule A of C••••••••• F•••••••• G•••• W• L• (listed 2012-05-03, absent 2019-10-30)Oct 30, 2019 · Control person left · inference
- C••••••••• F•••••••• G•••• W• L• filed its initial SEC registration (Form ADV)Oct 30, 2019 · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/C•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Website
- jsb-financial.com/contact_usreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (570) 822-4475reportedpublic record, Form ADV, Mar 16, 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
- $41.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026