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••••• B••••• A•••••••
Legal name M•• A••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Oct 31, 2018 · 14 filings
SEC status approved since Nov 30, 2018
RAUM
$343M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$323M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$343M as of Feb 10, 2026
Mar 10, 2019$112M then
HNW client RAUM$244M as of Feb 10, 2026
Mar 10, 2019$80.9M then
State-registered IARs (5.B.3)4 as of Feb 10, 2026
Mar 10, 20192 then
Employees (5.A)5 as of Feb 10, 2026
Mar 10, 20192 then
Private funds: no history
RAUM +25% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $336,886derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -43%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $74.3M, 229 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M71%
- Individuals$78.8M23%
- Corporations and businesses$14.8M4.3%
- Charitable organizations$5.2M1.5%
- Individual clients
- 169reported
- HNW clients
- 76reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 1,017reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.3M for 229 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W••••• M•••••Certified Financial Planner | Hermitage, Pa | Aug 9, 2013 | 13 y | 0 |
| M•••••• J•••• B•••••Chartered Financial Analyst | Hermitage, Pa | Aug 9, 2013 | 20 y | 1 |
| A••••• C•••• P•••••Certified Financial Planner, Chartered Financial Consultant | Hermitage, Pa | Feb 9, 2021 | 13 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- R••••• J•••• P•••••• to M••••• G••••• A••••••• I•••Jun 12, 2026 · RIA to RIA
Joined, latest
- R••••• J•••• P•••••• from I•••••••• A•••••••• L••Jan 15, 2026 · Affiliated broker-dealer or bank to independent RIA
- A••••• C•••• P••••• from D•••••• P•••••• W•••••• I•••Feb 9, 2021 · RIA to RIA
- M•••••• J•••• B••••• from F•• W••••• M•••••••••Aug 9, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• J•••• · Managing Member & Principalcontrolsince 06/2013 · owns 50% to 75%
- M•••••• J•••• W••••• · Managing Member Principal & Chief Compliance Officercontrolsince 06/2013 · 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 |
|---|---|---|---|---|---|
| Hermitage, Pa · principal | 3 | 0 | 0 | ||
| New Wilmington, Pa | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 10, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $275,174,980 to $342,613,223, advisors 3 to 4, private clients 429 to 245, offices 0 to 0 (2025-03-20 to 2026-02-10)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Feb 10, 2026individual and HNW clients (Item 5.D) moved from 429.0 to 245.0 (-43.0%) between the annual amendments of 2025-03-20 and 2026-02-10; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.4% percentile
What changed
consecutive filings, newest first
- Accounts · 860 to 1,017Mar 20, 2025 to Feb 10, 2026
- Advisory employees · 3 to 4Mar 20, 2025 to Feb 10, 2026
- Charity clients · 12 to 8Mar 20, 2025 to Feb 10, 2026
- Corporate clients · 21 to 11Mar 20, 2025 to Feb 10, 2026
- HNW clients · 105 to 76Mar 20, 2025 to Feb 10, 2026
- Individual clients · 324 to 169Mar 20, 2025 to Feb 10, 2026
- Assets in custody · $78.6M to $74.3MMar 20, 2025 to Feb 10, 2026
- Employees · 4 to 5Mar 20, 2025 to Feb 10, 2026
- State-registered IARs · 3 to 4Mar 20, 2025 to Feb 10, 2026
- Discretionary RAUM · $275M to $343MMar 20, 2025 to Feb 10, 2026
- HNW RAUM · $184M to $244MMar 20, 2025 to Feb 10, 2026
- Individual RAUM · $73.0M to $78.8MMar 20, 2025 to Feb 10, 2026
- RAUM · $275M to $343MMar 20, 2025 to Feb 10, 2026
- Accounts · 789 to 860Mar 12, 2024 to Mar 20, 2025
- Charity clients · 14 to 12Mar 12, 2024 to Mar 20, 2025
- Corporate clients · 22 to 21Mar 12, 2024 to Mar 20, 2025
- HNW clients · 92 to 105Mar 12, 2024 to Mar 20, 2025
- Individual clients · 307 to 324Mar 12, 2024 to Mar 20, 2025
- Assets in custody · unset to 78594921.0Mar 12, 2024 to Mar 20, 2025
- Custody of client assets · false to trueMar 12, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 12, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 101-250Mar 12, 2024 to Mar 20, 2025
- Discretionary RAUM · $259M to $275MMar 12, 2024 to Mar 20, 2025
- HNW RAUM · $178M to $184MMar 12, 2024 to Mar 20, 2025
- Individual RAUM · $63.4M to $73.0MMar 12, 2024 to Mar 20, 2025
- RAUM · $259M to $275MMar 12, 2024 to Mar 20, 2025
- Accounts · 676 to 789Apr 20, 2023 to Mar 12, 2024
- Charity clients · 8 to 14Apr 20, 2023 to Mar 12, 2024
- Corporate clients · 17 to 22Apr 20, 2023 to Mar 12, 2024
- HNW clients · 72 to 92Apr 20, 2023 to Mar 12, 2024
- Individual clients · 288 to 307Apr 20, 2023 to Mar 12, 2024
- Pension plan clients · 2.0 to unsetApr 20, 2023 to Mar 12, 2024
- Discretionary RAUM · $208M to $259MApr 20, 2023 to Mar 12, 2024
- HNW RAUM · $146M to $178MApr 20, 2023 to Mar 12, 2024
- Individual RAUM · $50.9M to $63.4MApr 20, 2023 to Mar 12, 2024
- Pension RAUM · 1386.0 to unsetApr 20, 2023 to Mar 12, 2024
- RAUM · $208M to $259MApr 20, 2023 to Mar 12, 2024
- Accounts · 592 to 676Oct 11, 2022 to Mar 13, 2023
- Charity clients · unset to 8.0Oct 11, 2022 to Mar 13, 2023
- Corporate clients · 13 to 17Oct 11, 2022 to Mar 13, 2023
Signals
2 dated events
- R••••• J•••• P•••••• left M••••• B••••• A••••••• for M••••• G••••• A••••••• I••• (registered 2026-08-24)Jun 12, 2026 · Advisor changed firm · fact
- M••••• B••••• A••••••• filed its initial SEC registration (Form ADV)Oct 31, 2018 · 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
- 724-301-1209reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- M•••••B•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-977-6275reportedpublic record, Form ADV, Feb 10, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026