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

T••••• W••••• M••••••••• L••

Independent wealth managerAudubon, PennsylvaniaCRD 168777SEC 801-108388website IAPD

Latest filing Aug 14, 2026

First filing on the tape Sep 6, 2016 · 31 filings

SEC status approved since Sep 13, 2016

RAUM

$1.6B

reported, Item 5.F

Discretionary

97%

of RAUM

Private clients

99%

$1.6B individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$132M

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

31 filings and snapshots on the tape

RAUM$1.6B as of Aug 14, 2026

Mar 28, 2017$222M then

HNW client RAUM$1.2B as of Aug 14, 2026

Mar 28, 2018$174M then

State-registered IARs (5.B.3)11 as of Aug 14, 2026

Mar 28, 20175 then

Employees (5.A)15 as of Aug 14, 2026

Mar 28, 20176 then

Private funds: no history

RAUM +19% over the last fiscal year+23% a year over threeIARs 12 to 11

Practice profile

derived from the filing of Aug 14, 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
Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)

RAUM per advisor: $132MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 72derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.1MderivedHNW RAUM over HNW clients
Average account: $511,673derivedRAUM over accounts (5.F.2.f)
Discretionary: 97%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 6.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: -8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.5%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients: 1,000reportedItem 5.H
Custody: $415M, 413 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

is an insurance broker or agent (6.A.6)
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.2B77%
Individuals$342M22%
Corporations and businesses$15.6M1.0%
Charitable organizations$418,5440.0%
Pension and profit-sharing plans$8950.0%

Individual clients: 568reported
HNW clients: 297reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 3,085reported
Financial planning clients: 1,000reported
Wrap fee programs: noreported
Custody of client assets: $415M for 413 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

12 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••••• P••••• E••••Certified Financial Planner	Audubon, Pa	Oct 10, 2013	21 y	3
M•••••• A•••••• P•••••••••Certified Financial Planner	Audubon, Pa	Oct 10, 2013	22 y	2
N••••• S••• M•••••••	Audubon, Pa	May 27, 2015	32 y	1
M•••••• P•••••• S••••••Certified Financial Planner	Blue Bell, Pa	Jul 7, 2015	14 y	2
M•••••• J••••• D••••••Certified Financial Planner	Blue Bell, Pa	Mar 1, 2018	13 y	1
M•••••• M•••• D•••••Certified Financial Planner	Audubon, Pa	May 24, 2018	14 y	0
M•••••• A•••••• F•••Certified Financial Planner	Audubon, Pa	Apr 1, 2019	24 y	3
J••• G••••Certified Financial Planner	Audubon, Pa	Dec 14, 2022	10 y	0
I•• J••••• H••••••Certified Financial Planner	Audubon, Pa	Jan 11, 2023	10 y	0
C•••••••• D•••••Certified Financial Planner	Audubon, Pa	Nov 20, 2023	10 y	0
S••• G••••••••	Audubon, Pa	Dec 6, 2023	21 y	0
A••••• B•••••• K•••	Audubon, Pa	Aug 31, 2026	12 y	0

Advisor movement

2 left, 0 joined in 12 months

net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 17% of current headcount2 left over 36 months

Left, latest

R••• T••••• K•••• to D••• A•• D••• W••••• M••••••••• L••
Jan 23, 2026 · RIA to a state-registered adviser
K•••••• L• B••••• to Q• A•••••••• L••
Jan 23, 2026 · Other
B•••• D•••••• H•••••• to S•••• Q•••• A•••••••• L••
Apr 6, 2023 · RIA to RIA

Joined, latest

K•••••• L• B••••• from C••••••••• F•••••••• N••••••
May 21, 2025 · Affiliated broker-dealer or bank to independent RIA
R••• T••••• K•••• from A••••••••• F•••••••• S•••••••• L••
Mar 15, 2023 · Affiliated broker-dealer or bank to independent RIA
M•••••• A•••••• F••• from U••••• C•••••• F•••••••• A•••••••
Apr 1, 2019 · RIA to RIA
M•••••• J••••• D•••••• from U••••• C•••••• F•••••••• A•••••••
Mar 1, 2018 · Other
M•••••• P•••••• S•••••• from C•••••• A•••••••
Jul 7, 2015 · Other
N••••• S••• M••••••• from N•••••••• A•••••••• I•••
May 27, 2015 · Other
M•••••• A•••••• P••••••••• from U••••• C•••••• F•••••••• A•••••••
Oct 10, 2013 · Other
S•••••• P••••• E•••• from U••••• C•••••• F•••••••• A•••••••
Oct 10, 2013 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E••••• S••••••• P••••• · Managing Membercontrol
since 10/2013 · owns 50% to 75%
P••••••••• M••••••• A•••••• · Managing Member/Chief Compliance Officercontrol
since 10/2013 · 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
Audubon, Pa · principal	12	1	2
Blue Bell, Pa	3	0	0

Offices

Schedule D 1.F, the 25 largest

Blue Bell, PA5 employees
, 1 employees

What changed

consecutive filings, newest first

Accounts · 2,812 to 3,085
Dec 3, 2025 to Mar 9, 2026
Advisory employees · 12 to 11
Dec 3, 2025 to Mar 9, 2026
Corporate clients · 6 to 5
Dec 3, 2025 to Mar 9, 2026
HNW clients · 268 to 297
Dec 3, 2025 to Mar 9, 2026
Individual clients · 522 to 568
Dec 3, 2025 to Mar 9, 2026
Pension plan clients · 18.0 to unset
Dec 3, 2025 to Mar 9, 2026
Assets in custody · $336M to $415M
Dec 3, 2025 to Mar 9, 2026
State-registered IARs · 12 to 11
Dec 3, 2025 to Mar 9, 2026
Discretionary RAUM · $1.3B to $1.5B
Dec 3, 2025 to Mar 9, 2026
HNW RAUM · $1.0B to $1.2B
Dec 3, 2025 to Mar 9, 2026
Individual RAUM · $304M to $342M
Dec 3, 2025 to Mar 9, 2026
Non-discretionary RAUM · $38.3M to $39.6M
Dec 3, 2025 to Mar 9, 2026
Pension RAUM · $0 to $895
Dec 3, 2025 to Mar 9, 2026
RAUM · $1.3B to $1.6B
Dec 3, 2025 to Mar 9, 2026
Accounts · 2,547 to 2,812
Jun 4, 2024 to Feb 13, 2025
Advisory employees · 13 to 12
Jun 4, 2024 to Feb 13, 2025
HNW clients · 239 to 268
Jun 4, 2024 to Feb 13, 2025
Individual clients · 484 to 522
Jun 4, 2024 to Feb 13, 2025
Pension plan clients · unset to 18.0
Jun 4, 2024 to Feb 13, 2025
Assets in custody · $300M to $336M
Jun 4, 2024 to Feb 13, 2025
Employees · 13 to 15
Jun 4, 2024 to Feb 13, 2025
Financial planning clients · More than 500 to More than 500
Jun 4, 2024 to Feb 13, 2025
State-registered IARs · 13 to 12
Jun 4, 2024 to Feb 13, 2025
Other offices · 2 to 1
Jun 4, 2024 to Feb 13, 2025
Discretionary RAUM · $1.0B to $1.3B
Jun 4, 2024 to Feb 13, 2025
HNW RAUM · $830M to $1.0B
Jun 4, 2024 to Feb 13, 2025
Individual RAUM · $243M to $304M
Jun 4, 2024 to Feb 13, 2025
Non-discretionary RAUM · $44.1M to $38.3M
Jun 4, 2024 to Feb 13, 2025
Pension RAUM · unset to 0.0
Jun 4, 2024 to Feb 13, 2025
RAUM · $1.1B to $1.3B
Jun 4, 2024 to Feb 13, 2025
Accounts · 2,177 to 2,547
Oct 30, 2023 to Mar 18, 2024
Advisory employees · 11 to 13
Oct 30, 2023 to Mar 18, 2024
Corporate clients · 5 to 6
Oct 30, 2023 to Mar 18, 2024
HNW clients · 219 to 239
Oct 30, 2023 to Mar 18, 2024
Individual clients · 446 to 484
Oct 30, 2023 to Mar 18, 2024
Assets in custody · $268M to $300M
Oct 30, 2023 to Mar 18, 2024
State-registered IARs · 11 to 13
Oct 30, 2023 to Mar 18, 2024
Discretionary RAUM · $807M to $1.0B
Oct 30, 2023 to Mar 18, 2024
HNW RAUM · $650M to $830M
Oct 30, 2023 to Mar 18, 2024
Individual RAUM · $181M to $243M
Oct 30, 2023 to Mar 18, 2024

Signals

8 dated events

K•••••• L• B••••• left T••••• W••••• M••••••••• L•• for Q• A•••••••• L•• (registered 2026-03-20)
Jan 23, 2026 · Advisor changed firm · fact
R••• T••••• K•••• left T••••• W••••• M••••••••• L•• for D••• A•• D••• W••••• M••••••••• L•• (registered 2026-07-16)
Jan 23, 2026 · Advisor changed firm · fact
T••••• W••••• M••••••••• L•• reported RAUM $1.1B, up 29% from $843.1M (2023-10-30 to 2024-03-18)
Mar 18, 2024 · RAUM change · derived
B•••• D•••••• H•••••• left T••••• W••••• M••••••••• L•• for S•••• Q•••• A•••••••• L•• (registered 2023-04-11)
Apr 6, 2023 · Advisor changed firm · fact
T••••• W••••• M••••••••• L•• reported RAUM $773.3M, up 39% from $556.4M (2022-02-18 to 2022-03-26)
Mar 26, 2022 · RAUM change · derived
T••••• W••••• M••••••••• L•• reported RAUM $556.4M, up 38% from $403.1M (2020-10-13 to 2021-03-03)
Mar 3, 2021 · RAUM change · derived
T••••• W••••• M••••••••• L•• reported RAUM $403.1M, up 45% from $278.6M (2019-07-17 to 2020-03-11)
Mar 11, 2020 · RAUM change · derived
T••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Sep 6, 2016 · 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

Firm profile: H••••://WWW.LINKEDIN.COM/COMPANY/T•••••-WEALTH-MANAGEMENT-LLreportedpublic record, Form ADV, Sep 18, 2026
Website: H••••://WWW.T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone: 215-376-5530reportedpublic record, Form ADV, Aug 14, 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: $132Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026