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
R•••••• B•••••••• I•••
Latest filing Jun 23, 2026
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Apr 23, 2002
RAUM
$1.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$919M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
19
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$1.0B as of Jun 23, 2026
Mar 29, 2012$234M then
HNW client RAUM$809M as of Jun 23, 2026
Mar 29, 2018$306M then
State-registered IARs (5.B.3)9 as of Jun 23, 2026
Mar 29, 20120 then
Employees (5.A)19 as of Jun 23, 2026
Mar 6, 20138 then
Private funds: no history
RAUM +7.5% over the last fiscal year+16% a year over threeIARs 9 to 9
Practice profile
derived from the filing of Jun 23, 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
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $969,633derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$809M78%
- Individuals$110M11%
- Charitable organizations$62.0M6.0%
- Investment companies$39.3M3.8%
- Pension and profit-sharing plans$9.2M0.9%
- Corporations and businesses$8.2M0.8%
- Individual clients
- 267reported
- HNW clients
- 228reported
- Pension plan clients
- 1reported
- Charitable clients
- 5reported
- Accounts
- 1,070reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.04 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• C•••• R•••••• | Harmony, Pa | Feb 6, 2004 | 31 y | 0 |
| D••••• R••• R•••••• | Harmony, Pa | Feb 9, 2004 | 30 y | 0 |
| W•••••• P••••• B•••••• | Lake Bluff, Il | Apr 15, 2008 | 20 y | 0 |
| M••• R•••••• | Harmony, Pa | Feb 18, 2011 | 41 y | 0 |
| M••• C•••• R••••••Chartered Financial Analyst | Harmony, Pa | Jun 21, 2016 | 16 y | 0 |
| J•••• E• P•••••Certified Financial Planner | Harmony, Pa | Mar 8, 2019 | 13 y | 1 |
| M•••••• B•••••• R•••••• | Harmony, Pa | Jun 11, 2019 | 11 y | 0 |
| C•••• R••••• R••••••• | Harmony, Pa | Jun 11, 2020 | 36 y | 0 |
| G••• R•••••• | Harmony, Pa | Oct 11, 2023 | 44 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•••• E• P••••• from N••••••••• M••••• I••••••••• S•••••••••Mar 8, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• G••• · Directorcontrolsince 02/1985 · owns 25% to 50%
- R••••••• M••• · President, Directorcontrolsince 02/1985 · owns 50% to 75%
- R••••••• M•••• C•••• · Ceo, Directorcontrolsince 09/2018 · owns less than 5%
- K••••••• K•••••••• M•••• · Chief Financial Officersince 01/2023 · owns less than 5%
- R••••••• D•••••• R••• · Chief Compliance Officer, Directorsince 01/2006 · owns less than 5%
Related persons
Schedule D 7.A
- A•••••• P••••••• T••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harmony, Pa · principal | 9 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Doylestown, PA1 employees
- Lake Bluff, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 1,075 to 1,070Mar 25, 2025 to Mar 20, 2026
- Charity clients · 6 to 5Mar 25, 2025 to Mar 20, 2026
- Corporate clients · 5 to 4Mar 25, 2025 to Mar 20, 2026
- HNW clients · 216 to 228Mar 25, 2025 to Mar 20, 2026
- Individual clients · 279 to 267Mar 25, 2025 to Mar 20, 2026
- Employees · 20 to 19Mar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $965M to $1.0BMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $739M to $809MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $114M to $110MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · $8.2M to $9.2MMar 25, 2025 to Mar 20, 2026
- RAUM · $965M to $1.0BMar 25, 2025 to Mar 20, 2026
- Accounts · 1,044 to 1,075Jan 23, 2025 to Mar 25, 2025
- Business name · M••••••••• C•••••• M••••••••• to R•••••• B•••••••• I•••Jan 23, 2025 to Mar 25, 2025
- Corporate clients · 6 to 5Jan 23, 2025 to Mar 25, 2025
- HNW clients · 249 to 216Jan 23, 2025 to Mar 25, 2025
- Individual clients · 246 to 279Jan 23, 2025 to Mar 25, 2025
- Pooled vehicle clients · 0.0 to unsetJan 23, 2025 to Mar 25, 2025
- Employees · 14 to 20Jan 23, 2025 to Mar 25, 2025
- Financial planning clients · 0 to Jan 23, 2025 to Mar 25, 2025
- State-registered IARs · 0 to 9Jan 23, 2025 to Mar 25, 2025
- Discretionary RAUM · $836M to $965MJan 23, 2025 to Mar 25, 2025
- HNW RAUM · $667M to $739MJan 23, 2025 to Mar 25, 2025
- Individual RAUM · $72.1M to $114MJan 23, 2025 to Mar 25, 2025
- Pension RAUM · $7.3M to $8.2MJan 23, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · 0.0 to unsetJan 23, 2025 to Mar 25, 2025
- RAUM · $836M to $965MJan 23, 2025 to Mar 25, 2025
- Accounts · 829 to 1,044Dec 22, 2023 to Mar 19, 2024
- Advisory activities · 2 to 3Dec 22, 2023 to Mar 19, 2024
- BD registered reps · 8 to 0Dec 22, 2023 to Mar 19, 2024
- Corporate clients · 4 to 6Dec 22, 2023 to Mar 19, 2024
- HNW clients · 218 to 249Dec 22, 2023 to Mar 19, 2024
- Individual clients · 195 to 246Dec 22, 2023 to Mar 19, 2024
- Employees · 17 to 14Dec 22, 2023 to Mar 19, 2024
- Discretionary RAUM · $673M to $836MDec 22, 2023 to Mar 19, 2024
- HNW RAUM · $521M to $667MDec 22, 2023 to Mar 19, 2024
- Individual RAUM · $60.0M to $72.1MDec 22, 2023 to Mar 19, 2024
- Pension RAUM · $6.4M to $7.3MDec 22, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · unset to 0.0Dec 22, 2023 to Mar 19, 2024
- RAUM · $673M to $836MDec 22, 2023 to Mar 19, 2024
- Related adviser · true to falseDec 22, 2023 to Mar 19, 2024
Signals
1 dated events
- M••• C•••• R•••••• (Ceo, Principal Operations Officer) appeared on Schedule A of R•••••• B•••••••• I•••Mar 29, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 855-392-9331reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/rodgers-brothersreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w••.m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 724-473-4003reportedpublic record, Form ADV, Jun 23, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026