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
S••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Jun 2, 2015 · 27 filings
SEC status approved since Jun 7, 2017
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$238M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$238M as of Mar 26, 2026
Mar 15, 2018$138M then
HNW client RAUM$126M as of Mar 26, 2026
Mar 15, 2018$17.0M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Mar 15, 20182 then
Employees (5.A)4 as of Mar 26, 2026
Mar 15, 20182 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 339derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $205,846derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -36%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $238MreportedItem 5.I
- Custody
- $238M, 677 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$126M53%
- Individuals$112M47%
- Individual clients
- 562reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,157reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $238M for 677 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D•••• T••••• | Allentown, Pa | Jun 5, 2015 | 21 y | 1 |
| P•••••• J•••• H••••••••• | Allentown, Pa | Jun 5, 2015 | 39 y | 1 |
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
- J••• D•••• T••••• from L•• F•••••••• L••Jun 5, 2015 · Other
- P•••••• J•••• H••••••••• from L•• F•••••••• L••Jun 5, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Oct 30, 2017 · Allentown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• P••••••• J•••• · Member/Chief Compliance Officercontrolsince 03/2015 · owns 50% to 75%
- T•••••• J•••• D•••• · Member/Investment Advisor Representativecontrolsince 03/2015 · owns 50% to 75%
Related persons
Schedule D 7.A
- J••• T•••••real estatey
- P•••••• H•••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Allentown, Pa · principal | 2 | 0 | 0 |
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 Mar 26, 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 $213,675,420 to $238,163,786, advisors 2 to 2, private clients 1066 to 677, offices 0 to 0 (2025-03-20 to 2026-03-26)peers: independent wealth managers, $100M to $500M (5,678)
- client count collapseChange between filings · filing Mar 26, 2026individual and HNW clients (Item 5.D) moved from 1,066.0 to 677.0 (-36.0%) between the annual amendments of 2025-03-20 and 2026-03-26; the peer median change was +3.0% (3309 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 1,066 to 1,157Mar 20, 2025 to Mar 26, 2026
- HNW clients · 84 to 115Mar 20, 2025 to Mar 26, 2026
- Individual clients · 982 to 562Mar 20, 2025 to Mar 26, 2026
- Assets in custody · $214M to $238MMar 20, 2025 to Mar 26, 2026
- Employees · 2 to 4Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $214M to $238MMar 20, 2025 to Mar 26, 2026
- HNW RAUM · $91.8M to $126MMar 20, 2025 to Mar 26, 2026
- Individual RAUM · $122M to $112MMar 20, 2025 to Mar 26, 2026
- RAUM · $214M to $238MMar 20, 2025 to Mar 26, 2026
- Accounts · 1,001 to 1,066Mar 20, 2024 to Mar 20, 2025
- HNW clients · 49 to 84Mar 20, 2024 to Mar 20, 2025
- Individual clients · 952 to 982Mar 20, 2024 to Mar 20, 2025
- Assets in custody · unset to 213675420.0Mar 20, 2024 to Mar 20, 2025
- Custody of client assets · false to trueMar 20, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $178M to $214MMar 20, 2024 to Mar 20, 2025
- HNW RAUM · $74.6M to $91.8MMar 20, 2024 to Mar 20, 2025
- Individual RAUM · $103M to $122MMar 20, 2024 to Mar 20, 2025
- RAUM · $178M to $214MMar 20, 2024 to Mar 20, 2025
- Accounts · 909 to 1,001Oct 12, 2023 to Mar 20, 2024
- HNW clients · 44 to 49Oct 12, 2023 to Mar 20, 2024
- Individual clients · 858 to 952Oct 12, 2023 to Mar 20, 2024
- Discretionary RAUM · $165M to $178MOct 12, 2023 to Mar 20, 2024
- HNW RAUM · $50.3M to $74.6MOct 12, 2023 to Mar 20, 2024
- Individual RAUM · $115M to $103MOct 12, 2023 to Mar 20, 2024
- RAUM · $165M to $178MOct 12, 2023 to Mar 20, 2024
- Accounts · 977 to 909Jun 6, 2022 to Mar 14, 2023
- Advisory activities · 3 to 2Jun 6, 2022 to Mar 14, 2023
- HNW clients · 49 to 44Jun 6, 2022 to Mar 14, 2023
- Individual clients · 640 to 858Jun 6, 2022 to Mar 14, 2023
- Discretionary RAUM · $190M to $165MJun 6, 2022 to Mar 14, 2023
- HNW RAUM · $56.5M to $50.3MJun 6, 2022 to Mar 14, 2023
- Individual RAUM · $134M to $115MJun 6, 2022 to Mar 14, 2023
- RAUM · $190M to $165MJun 6, 2022 to Mar 14, 2023
- Accounts · 823 to 977Aug 31, 2021 to Mar 21, 2022
- HNW clients · 40 to 49Aug 31, 2021 to Mar 21, 2022
- Individual clients · 783 to 640Aug 31, 2021 to Mar 21, 2022
- Discretionary RAUM · $169M to $190MAug 31, 2021 to Mar 21, 2022
- HNW RAUM · $47.8M to $56.5MAug 31, 2021 to Mar 21, 2022
- Individual RAUM · $121M to $134MAug 31, 2021 to Mar 21, 2022
Signals
1 dated events
- S••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 2, 2015 · 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
- 610-945-8014reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••A•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-945-8014reportedpublic record, Form ADV, Mar 26, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026