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
O•••••• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Mar 17, 2022 · 6 filings
SEC status approved since Apr 18, 2022
RAUM
$151M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$148M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$75.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$151M as of Mar 25, 2026
Mar 31, 2023$96.1M then
HNW client RAUM$115M as of Mar 25, 2026
Mar 31, 2023$78.8M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Mar 31, 20232 then
Employees (5.A)2 as of Mar 25, 2026
Mar 31, 20232 then
Private funds: no history
RAUM +32% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $75.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $759,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$115M76%
- Individuals$33.1M22%
- Charitable organizations$2.3M1.5%
- Corporations and businesses$202,9190.1%
- Pension and profit-sharing plans$138,8780.1%
- Individual clients
- 45reported
- HNW clients
- 29reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 199reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• W••••• B•••••Certified Financial Planner, Personal Financial Specialist | Lancaster, Pa | Jan 2, 2013 | 37 y | 2 |
| R••• C•••••••• B•••••Certified Financial Planner | Lancaster, Pa | Jan 2, 2013 | 20 y | 2 |
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
- R••• W••••• B••••• from 1•• G••••• A••••••• I••Jan 2, 2013 · Other
- R••• C•••••••• B••••• from 1•• G••••• A••••••• I••Jan 2, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••• C•••••••• · Managing Member/Chief Compliance Officercontrolsince 07/2012 · owns 25% to 50%
- B•••••• R•••• W••••• · Managing Membercontrolsince 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
- R••• W• B•••••• C•• P•insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 178 to 199Mar 25, 2025 to Mar 25, 2026
- Charity clients · 7 to 8Mar 25, 2025 to Mar 25, 2026
- HNW clients · 34 to 29Mar 25, 2025 to Mar 25, 2026
- Individual clients · 34 to 45Mar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $115M to $151MMar 25, 2025 to Mar 25, 2026
- HNW RAUM · $97.9M to $115MMar 25, 2025 to Mar 25, 2026
- Individual RAUM · $13.1M to $33.1MMar 25, 2025 to Mar 25, 2026
- Pension RAUM · $1.4M to $138,878Mar 25, 2025 to Mar 25, 2026
- RAUM · $115M to $151MMar 25, 2025 to Mar 25, 2026
- Accounts · 165 to 178Mar 15, 2024 to Mar 25, 2025
- Assets in custody · 521781.0 to unsetMar 15, 2024 to Mar 25, 2025
- Custody of client assets · true to falseMar 15, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 15, 2024 to Mar 25, 2025
- Discretionary RAUM · $106M to $115MMar 15, 2024 to Mar 25, 2025
- HNW RAUM · $91.5M to $97.9MMar 15, 2024 to Mar 25, 2025
- Individual RAUM · $10.8M to $13.1MMar 15, 2024 to Mar 25, 2025
- Pension RAUM · $1.3M to $1.4MMar 15, 2024 to Mar 25, 2025
- RAUM · $106M to $115MMar 15, 2024 to Mar 25, 2025
- Accounts · 149 to 165Jun 7, 2023 to Mar 15, 2024
- HNW clients · 20 to 34Jun 7, 2023 to Mar 15, 2024
- Individual clients · 33 to 34Jun 7, 2023 to Mar 15, 2024
- Assets in custody · unset to 521781.0Jun 7, 2023 to Mar 15, 2024
- Custody of client assets · false to trueJun 7, 2023 to Mar 15, 2024
- Discretionary RAUM · $96.1M to $106MJun 7, 2023 to Mar 15, 2024
- HNW RAUM · $78.8M to $91.5MJun 7, 2023 to Mar 15, 2024
- Individual RAUM · $11.3M to $10.8MJun 7, 2023 to Mar 15, 2024
- Pension RAUM · $2.9M to $1.3MJun 7, 2023 to Mar 15, 2024
- RAUM · $96.1M to $106MJun 7, 2023 to Mar 15, 2024
- HQ city · NEWARK to LANCASTERMar 31, 2023 to Jun 7, 2023
- HQ state · DE to PAMar 31, 2023 to Jun 7, 2023
- Charity clients · 6 to 7Mar 17, 2022 to Mar 31, 2023
- HNW clients · 25 to 20Mar 17, 2022 to Mar 31, 2023
- Individual clients · 46 to 33Mar 17, 2022 to Mar 31, 2023
- Assets in custody · 108048493.0 to unsetMar 17, 2022 to Mar 31, 2023
- Custody of client assets · true to falseMar 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $111M to $96.1MMar 17, 2022 to Mar 31, 2023
- HNW RAUM · $90.4M to $78.8MMar 17, 2022 to Mar 31, 2023
- Individual RAUM · $13.6M to $11.3MMar 17, 2022 to Mar 31, 2023
- Pension RAUM · $3.2M to $2.9MMar 17, 2022 to Mar 31, 2023
- RAUM · $111M to $96.1MMar 17, 2022 to Mar 31, 2023
Signals
1 dated events
- O•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 17, 2022 · 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 phone
- 302-453-9662reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- O••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 302-453-9662reportedpublic record, Form ADV, Mar 25, 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
- $75.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026