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
M•••••• I••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Apr 17, 2012 · 23 filings
SEC status approved since Apr 27, 2012
RAUM
$253M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
87%
$219M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.3M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$253M as of Mar 30, 2026
Apr 1, 2013$98.5M then
HNW client RAUM$205M as of Mar 30, 2026
Mar 31, 2018$166M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Apr 1, 20132 then
Employees (5.A)4 as of Mar 30, 2026
Apr 1, 20133 then
Private funds: no history
RAUM -5.9% over the last fiscal year+4.8% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $63.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $740,346derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 9.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, publicationsreportedItem 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$205M81%
- Charitable organizations$16.6M6.6%
- Individuals$13.9M5.5%
- Other investment advisers$9.4M3.7%
- Pension and profit-sharing plans$7.5M2.9%
- Corporations and businesses$686,9960.3%
- Individual clients
- 73reported
- HNW clients
- 57reported
- Pension plan clients
- 8reported
- Charitable clients
- 5reported
- Accounts
- 342reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.87 fund_share=0.04 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• A••••••• M••••••Chartered Financial Analyst | King Of Prussia, Pa | May 7, 2012 | 35 y | 3 |
| A•••••••• A••••••• M•••••• | King Of Prussia, Pa | Jun 8, 2012 | 25 y | 5 |
| R••••• B••• M•••••• | King Of Prussia, Pa | Dec 4, 2013 | 14 y | 0 |
| A•••••••• A••••••• M•••••• | King Of Prussia, Pa | Mar 18, 2024 | 12 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
- A•••••••• A••••••• M•••••• from A•••• A•••• M••••••••• L••Jun 8, 2012 · Other
- A•••••••• A••••••• M•••••• from A•••• A•••• M••••••••• L••May 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A••••••••• A••••••• · Membercontrolsince 12/2023 · owns 75% or more
- M••••••• A••••••••• A••••••• · Chief Compliance Officercontrolsince 04/2012 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| King Of Prussia, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 318 to 342Mar 28, 2025 to Mar 30, 2026
- Charity clients · unset to 5.0Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 7 to 8Mar 28, 2025 to Mar 30, 2026
- HNW clients · 47 to 57Mar 28, 2025 to Mar 30, 2026
- Individual clients · 68 to 73Mar 28, 2025 to Mar 30, 2026
- Pension plan clients · 6 to 8Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $201M to $226MMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $222M to $205MMar 28, 2025 to Mar 30, 2026
- Individual RAUM · $12.3M to $13.9MMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $68.1M to $27.7MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $7.0M to $7.5MMar 28, 2025 to Mar 30, 2026
- RAUM · $269M to $253MMar 28, 2025 to Mar 30, 2026
- Accounts · 300 to 318Sep 20, 2024 to Mar 28, 2025
- HNW clients · 45 to 47Sep 20, 2024 to Mar 28, 2025
- Individual clients · 59 to 68Sep 20, 2024 to Mar 28, 2025
- Pension plan clients · 5 to 6Sep 20, 2024 to Mar 28, 2025
- Financial planning clients · unset to Sep 20, 2024 to Mar 28, 2025
- Discretionary RAUM · $177M to $201MSep 20, 2024 to Mar 28, 2025
- HNW RAUM · $202M to $222MSep 20, 2024 to Mar 28, 2025
- Individual RAUM · $8.8M to $12.3MSep 20, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $64.1M to $68.1MSep 20, 2024 to Mar 28, 2025
- Pension RAUM · $6.4M to $7.0MSep 20, 2024 to Mar 28, 2025
- RAUM · $241M to $269MSep 20, 2024 to Mar 28, 2025
- Accounts · 276 to 300Jan 24, 2024 to Mar 27, 2024
- Advisory employees · 3 to 4Jan 24, 2024 to Mar 27, 2024
- Corporate clients · unset to 7.0Jan 24, 2024 to Mar 27, 2024
- HNW clients · 44 to 45Jan 24, 2024 to Mar 27, 2024
- Individual clients · 51 to 59Jan 24, 2024 to Mar 27, 2024
- State-registered IARs · 3 to 4Jan 24, 2024 to Mar 27, 2024
- Discretionary RAUM · $153M to $177MJan 24, 2024 to Mar 27, 2024
- HNW RAUM · $187M to $202MJan 24, 2024 to Mar 27, 2024
- Individual RAUM · $7.5M to $8.8MJan 24, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $67.0M to $64.1MJan 24, 2024 to Mar 27, 2024
- Pension RAUM · $5.3M to $6.4MJan 24, 2024 to Mar 27, 2024
- RAUM · $220M to $241MJan 24, 2024 to Mar 27, 2024
- Accounts · 267 to 276Dec 13, 2022 to Mar 30, 2023
- HNW clients · 45 to 44Dec 13, 2022 to Mar 30, 2023
- Individual clients · 48 to 51Dec 13, 2022 to Mar 30, 2023
- Discretionary RAUM · $178M to $153MDec 13, 2022 to Mar 30, 2023
- HNW RAUM · $210M to $187MDec 13, 2022 to Mar 30, 2023
Signals
No event on the tape.
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
- Principal office phone
- 610-572-2705reportedpublic record, Form ADV, Mar 30, 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
- $63.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026