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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Former SEC-registered adviser

M••••• W••••• M•••••••••

Former SEC-registered adviserLancaster, PennsylvaniaCRD 165323SEC 801-110904IAPD
Legal name S•••••• F•••••••• S•••••••• L••
Latest filing Jan 2, 2022
First filing on the tape Jun 28, 2017 · 11 filings
RAUM
$112M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
51%
$56.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$112M as of Jan 2, 2022
Jan 3, 2018$115M then
HNW client RAUM$21.3M as of Jan 2, 2022
Jan 3, 2018$24.0M then
State-registered IARs (5.B.3)1 as of Jan 2, 2022
Jan 3, 20182 then
Employees (5.A)3 as of Jan 2, 2022
Jan 3, 20184 then
Private funds: no history
RAUM -16% over the last fiscal year-1.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 2, 2022; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
245derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$394,863derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-16%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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$54.9M49%
  • Individuals$35.5M32%
  • High-net-worth individuals$21.3M19%
Individual clients
237reported
HNW clients
8reported
Pension plan clients
23reported
Charitable clients
n/areported
Accounts
283reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • N•••• R•••• E••••• · President And Chief Compliance Officercontrol
      since 01/2012 · owns less than 5%
    Entity owners
    • M••••• I•••••••• A••••••••• I••• E••••••• S•••• O••••• P••• · Owner
      indirect · owns 50% to 75% of M••••• I•••••••• A••••••••• I•••
    • M••••• I•••••••• A••••••••• I••• · Owner
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 433 to 283
      Jan 4, 2021 to Jan 2, 2022
    • Business name · M••••• S•••••• W••••• M••••••••• to M••••• W••••• M•••••••••
      Jan 4, 2021 to Jan 2, 2022
    • HNW clients · 6 to 8
      Jan 4, 2021 to Jan 2, 2022
    • Individual clients · 277 to 237
      Jan 4, 2021 to Jan 2, 2022
    • Pension plan clients · 24 to 23
      Jan 4, 2021 to Jan 2, 2022
    • HNW RAUM · $18.6M to $21.3M
      Jan 4, 2021 to Jan 2, 2022
    • Individual RAUM · $36.5M to $35.5M
      Jan 4, 2021 to Jan 2, 2022
    • Non-discretionary RAUM · $133M to $112M
      Jan 4, 2021 to Jan 2, 2022
    • Pension RAUM · $78.4M to $54.9M
      Jan 4, 2021 to Jan 2, 2022
    • RAUM · $133M to $112M
      Jan 4, 2021 to Jan 2, 2022
    • Accounts · 279 to 433
      Oct 14, 2020 to Dec 10, 2020
    • HNW clients · 22 to 6
      Oct 14, 2020 to Dec 10, 2020
    • Individual clients · 409 to 277
      Oct 14, 2020 to Dec 10, 2020
    • HNW RAUM · $15.0M to $18.6M
      Oct 14, 2020 to Dec 10, 2020
    • Individual RAUM · $40.0M to $36.5M
      Oct 14, 2020 to Dec 10, 2020
    • Non-discretionary RAUM · $127M to $133M
      Oct 14, 2020 to Dec 10, 2020
    • Pension RAUM · $72.0M to $78.4M
      Oct 14, 2020 to Dec 10, 2020
    • RAUM · $127M to $133M
      Oct 14, 2020 to Dec 10, 2020
    • Advisory employees · 2 to 1
      Jun 29, 2020 to Oct 14, 2020
    • Employees · 4 to 3
      Jun 29, 2020 to Oct 14, 2020
    • State-registered IARs · 2 to 1
      Jun 29, 2020 to Oct 14, 2020
    • HNW clients · 7 to 22
      Dec 27, 2018 to Jan 2, 2020
    • Individual clients · 252 to 409
      Dec 27, 2018 to Jan 2, 2020
    • Pension plan clients · 20 to 24
      Dec 27, 2018 to Jan 2, 2020
    • HNW RAUM · $24.0M to $15.0M
      Dec 27, 2018 to Jan 2, 2020
    • Individual RAUM · $35.0M to $40.0M
      Dec 27, 2018 to Jan 2, 2020
    • Non-discretionary RAUM · $115M to $127M
      Dec 27, 2018 to Jan 2, 2020
    • Pension RAUM · $56.0M to $72.0M
      Dec 27, 2018 to Jan 2, 2020
    • RAUM · $115M to $127M
      Dec 27, 2018 to Jan 2, 2020
    • Accounts · 252 to 279
      Jan 3, 2018 to Dec 27, 2018
    • Accounts · 200 to 252
      Aug 7, 2017 to Jan 3, 2018
    • HNW clients · unset to 7.0
      Aug 7, 2017 to Jan 3, 2018
    • Individual clients · unset to 252.0
      Aug 7, 2017 to Jan 3, 2018
    • Pension plan clients · unset to 20.0
      Aug 7, 2017 to Jan 3, 2018
    • Financial planning clients · 101-250 to 251-500
      Aug 7, 2017 to Jan 3, 2018
    • Other offices · unset to 0.0
      Aug 7, 2017 to Jan 3, 2018
    • HNW RAUM · unset to 24000000.0
      Aug 7, 2017 to Jan 3, 2018
    • Individual RAUM · unset to 35000000.0
      Aug 7, 2017 to Jan 3, 2018
    • Non-discretionary RAUM · $110M to $115M
      Aug 7, 2017 to Jan 3, 2018
    • Pension RAUM · unset to 56000000.0
      Aug 7, 2017 to Jan 3, 2018
    Signals
    4 dated events
    • B••••• E••••• S••••••••• left M••••• W••••• M••••••••• for A••••••••• I••••••••• A••••••• (registered 2022-04-13)
      Dec 15, 2022 · Advisor changed firm · fact
    • B•••••• C•••• B••••• left M••••• W••••• M••••••••• for A••••••••• I••••••••• A••••••• (registered 2023-01-05)
      Dec 15, 2022 · Advisor changed firm · fact
    • 2 advisors left M••••• W••••• M••••••••• (Milton, PA) for A••••••••• I••••••••• A••••••• on the same day
      Dec 15, 2022 · Team lift-out · derived
    • M••••• S•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)
      Jun 28, 2017 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026