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
J•••••• • W•••• W••••• M••••••••• L••
Latest filing Jul 23, 2026
First filing on the tape May 9, 2014 · 34 filings
SEC status approved since May 23, 2014
RAUM
$485M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
92%
$444M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$69.2M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$485M as of Jul 23, 2026
Jan 28, 2015$127M then
HNW client RAUM$329M as of Jul 23, 2026
Mar 7, 2018$100M then
State-registered IARs (5.B.3)4 as of Jul 23, 2026
Jan 28, 20155 then
Employees (5.A)7 as of Jul 23, 2026
Jan 28, 20156 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 23, 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
- RAUM per advisor
- $69.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $366,311derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $150M, 162 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$329M68%
- Individuals$115M24%
- Pension and profit-sharing plans$28.3M5.8%
- Corporations and businesses$10.3M2.1%
- Charitable organizations$2.0M0.4%
- Individual clients
- 367reported
- HNW clients
- 99reported
- Pension plan clients
- 11reported
- Charitable clients
- n/areported
- Accounts
- 1,323reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $150M for 162 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••••• P••• W••••Certified Financial Planner | York, Pa | Jun 6, 2014 | 37 y | 1 |
| C••••••••• L••• J••••••Certified Financial Planner | York, Pa | Jun 6, 2014 | 28 y | 1 |
| R••••• W•••••• A•••• | York, Pa | Jun 6, 2014 | 19 y | 1 |
| M•••••• J••• B••• | York, Pa | Jan 17, 2020 | 11 y | 0 |
| J••••• S•••• A••••Certified Financial Planner | York, Pa | May 24, 2021 | 10 y | 0 |
| S••• R•••• B••••••• | York, Pa | Jul 22, 2024 | 13 y | 0 |
| J•••• W•••••• L••••• | York, Pa | Oct 11, 2025 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- E•••• L••• R••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 26, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- C••••••••• L••• J•••••• from W•••• F•••• A•••••••Jun 6, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E•••• L••• R••••• from W•••• F•••• A•••••••Jun 6, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T•••••• P••• W•••• from W•••• F•••• A•••••••Jun 6, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• W•••••• A•••• from W•••• F•••• A•••••••Jun 6, 2014 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• R•••••• W•••••• · Principalcontrolsince 01/2023 · owns 10% to 25%
- J••••••• C••••••••• L••• · Principalcontrolsince 05/2014 · owns 25% to 50%
- W••••• T••••••• P••• · Principal/Chief Compliance Officercontrolsince 05/2014 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| York, Pa · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,362 to 1,323Mar 18, 2025 to Feb 20, 2026
- Advisory employees · 5 to 7Mar 18, 2025 to Feb 20, 2026
- Corporate clients · 5 to 3Mar 18, 2025 to Feb 20, 2026
- HNW clients · 75 to 99Mar 18, 2025 to Feb 20, 2026
- Individual clients · 472 to 367Mar 18, 2025 to Feb 20, 2026
- Pension plan clients · 9 to 11Mar 18, 2025 to Feb 20, 2026
- Assets in custody · $123M to $150MMar 18, 2025 to Feb 20, 2026
- Employees · 6 to 7Mar 18, 2025 to Feb 20, 2026
- State-registered IARs · 3 to 4Mar 18, 2025 to Feb 20, 2026
- Discretionary RAUM · $378M to $450MMar 18, 2025 to Feb 20, 2026
- HNW RAUM · $227M to $329MMar 18, 2025 to Feb 20, 2026
- Individual RAUM · $136M to $115MMar 18, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $34.1M to $34.6MMar 18, 2025 to Feb 20, 2026
- Pension RAUM · $23.8M to $28.3MMar 18, 2025 to Feb 20, 2026
- RAUM · $412M to $485MMar 18, 2025 to Feb 20, 2026
- Accounts · 1,262 to 1,362Jan 24, 2025 to Mar 18, 2025
- Advisory employees · 6 to 5Jan 24, 2025 to Mar 18, 2025
- Charity clients · 5.0 to unsetJan 24, 2025 to Mar 18, 2025
- HNW clients · 60 to 75Jan 24, 2025 to Mar 18, 2025
- Individual clients · 385 to 472Jan 24, 2025 to Mar 18, 2025
- Pension plan clients · 6 to 9Jan 24, 2025 to Mar 18, 2025
- Assets in custody · unset to 123035851.0Jan 24, 2025 to Mar 18, 2025
- Custody of client assets · false to trueJan 24, 2025 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Jan 24, 2025 to Mar 18, 2025
- State-registered IARs · 6 to 3Jan 24, 2025 to Mar 18, 2025
- Discretionary RAUM · $332M to $378MJan 24, 2025 to Mar 18, 2025
- HNW RAUM · $217M to $227MJan 24, 2025 to Mar 18, 2025
- Individual RAUM · $105M to $136MJan 24, 2025 to Mar 18, 2025
- Non-discretionary RAUM · $32.7M to $34.1MJan 24, 2025 to Mar 18, 2025
- Pension RAUM · $21.6M to $23.8MJan 24, 2025 to Mar 18, 2025
- RAUM · $365M to $412MJan 24, 2025 to Mar 18, 2025
- Wrap assets (manager) · 0.0 to unsetJan 24, 2025 to Mar 18, 2025
- Wrap assets (sponsor) · 0.0 to unsetJan 24, 2025 to Mar 18, 2025
- BD registered reps · 2 to 0Apr 25, 2024 to Jan 24, 2025
- Accounts · 1,153 to 1,262Mar 2, 2023 to Mar 6, 2024
- Charity clients · 7 to 5Mar 2, 2023 to Mar 6, 2024
- HNW clients · 89 to 60Mar 2, 2023 to Mar 6, 2024
- Individual clients · 441 to 385Mar 2, 2023 to Mar 6, 2024
- Pension plan clients · 8 to 6Mar 2, 2023 to Mar 6, 2024
- Discretionary RAUM · $291M to $332MMar 2, 2023 to Mar 6, 2024
Signals
4 dated events
- W•••••• Robert Allan (Principal) appeared on Schedule A of J•••••• • W•••• W••••• M••••••••• L••Mar 6, 2024 · Control person joined · fact
- E•••• L••• R••••• left J•••••• • W•••• W••••• M••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2023-02-06)Sep 26, 2023 · Advisor changed firm · fact
- M•••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 23, 2014 · Succession (Item 4) · fact
- M•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 9, 2014 · 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
- 717-430-0001reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-430-0003reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-430-0004reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/johnsonandwhitewealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- J••••••ANDW••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-430-0001reportedpublic record, Form ADV, Jul 23, 2026
- Contact form
- johnsonandwhite.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- johnsonandwhite.com/team-memberreportedpublished 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
- $69.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026