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••••• G•••• R••••••••• P•••••••• I•••
Latest filing Feb 26, 2026
First filing on the tape May 18, 2017 · 17 filings
SEC status approved since May 31, 2017
RAUM
$302M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
22%
$65.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$302M as of Feb 26, 2026
Mar 23, 2018$142M then
HNW client RAUM$25.6M as of Feb 26, 2026
Mar 23, 2018$15.1M then
State-registered IARs (5.B.3)3 as of Feb 26, 2026
Mar 23, 20183 then
Employees (5.A)4 as of Feb 26, 2026
Mar 23, 20189 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%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, educational seminarsreportedItem 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$235M78%
- Individuals$39.6M13%
- High-net-worth individuals$25.6M8.5%
- Charitable organizations$974,5230.3%
- Corporations and businesses$641,2690.2%
- Individual clients
- 177reported
- HNW clients
- 12reported
- Pension plan clients
- 58reported
- Charitable clients
- n/areported
- Accounts
- 255reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C••••••••• F••••••• | Exton, Pa | Dec 13, 2013 | 16 y | 1 |
| A•••••• J••• F••••••• | Exton, Pa | Dec 13, 2013 | 33 y | 1 |
| R•••• B•••• M•••••••• | Spanish Fort, Al | Jan 12, 2024 | 22 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
- M••• E• W••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Nov 30, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••• B•••• M•••••••• from P•••••••• F•••••••• P•••••••• L••Jan 12, 2024 · Other
- M••• E• W••••• from P•••••• A•••••• G••••• L••Aug 11, 2017 · Other
- A•••••• J••• F••••••• from N•• A•••••• S•••••••• L••Dec 13, 2013 · Other
- D•••• C••••••••• F••••••• from N•• A•••••• S•••••••• L••Dec 13, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• A••••••• J••• · Ceocontrolsince 11/2013 · owns 50% to 75%
- F•••••••• D••••• C••••••••• · Coo And Ccocontrolsince 11/2013 · 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 |
|---|---|---|---|---|---|
| Exton, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Feb 26, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- high institutional concentrationStatic outlier · filing Feb 26, 2026institutional share of RAUM of 78% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 26.2 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
- account count collapseChange between filings · filing Feb 26, 2026accounts (Item 5.F.2.f) moved from 4,484.0 to 255.0 (-94.0%) between the annual amendments of 2025-03-18 and 2026-02-26; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 4,484 to 255Mar 18, 2025 to Feb 26, 2026
- HNW clients · 10 to 12Mar 18, 2025 to Feb 26, 2026
- Individual clients · 183 to 177Mar 18, 2025 to Feb 26, 2026
- Pension plan clients · 64 to 58Mar 18, 2025 to Feb 26, 2026
- HNW RAUM · $19.5M to $25.6MMar 18, 2025 to Feb 26, 2026
- Individual RAUM · $34.5M to $39.6MMar 18, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $262M to $302MMar 18, 2025 to Feb 26, 2026
- Pension RAUM · $207M to $235MMar 18, 2025 to Feb 26, 2026
- RAUM · $262M to $302MMar 18, 2025 to Feb 26, 2026
- Accounts · 327 to 4,484Mar 10, 2024 to Mar 18, 2025
- Individual clients · 188 to 183Mar 10, 2024 to Mar 18, 2025
- Pension plan clients · 61 to 64Mar 10, 2024 to Mar 18, 2025
- Financial planning clients · 1-10 to 1-10Mar 10, 2024 to Mar 18, 2025
- HNW RAUM · $16.9M to $19.5MMar 10, 2024 to Mar 18, 2025
- Individual RAUM · $29.4M to $34.5MMar 10, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $260M to $262MMar 10, 2024 to Mar 18, 2025
- Pension RAUM · $212M to $207MMar 10, 2024 to Mar 18, 2025
- RAUM · $260M to $262MMar 10, 2024 to Mar 18, 2025
- Accounts · 237 to 327Jan 12, 2024 to Mar 10, 2024
- HNW clients · 9 to 10Jan 12, 2024 to Mar 10, 2024
- Individual clients · 163 to 188Jan 12, 2024 to Mar 10, 2024
- Pension plan clients · 63 to 61Jan 12, 2024 to Mar 10, 2024
- HNW RAUM · $14.9M to $16.9MJan 12, 2024 to Mar 10, 2024
- Individual RAUM · $26.1M to $29.4MJan 12, 2024 to Mar 10, 2024
- Non-discretionary RAUM · $206M to $260MJan 12, 2024 to Mar 10, 2024
- Pension RAUM · $164M to $212MJan 12, 2024 to Mar 10, 2024
- RAUM · $206M to $260MJan 12, 2024 to Mar 10, 2024
- Advisory employees · 2 to 3Dec 8, 2023 to Jan 12, 2024
- Employees · 3 to 4Dec 8, 2023 to Jan 12, 2024
- State-registered IARs · 2 to 3Dec 8, 2023 to Jan 12, 2024
- Other offices · 0 to 1Dec 8, 2023 to Jan 12, 2024
- Accounts · 275 to 237Mar 24, 2022 to Mar 8, 2023
- HNW clients · 10 to 9Mar 24, 2022 to Mar 8, 2023
- Individual clients · 148 to 163Mar 24, 2022 to Mar 8, 2023
- Pension plan clients · 61 to 63Mar 24, 2022 to Mar 8, 2023
- Employees · 4 to 3Mar 24, 2022 to Mar 8, 2023
- Financial planning clients · 0 to 1-10Mar 24, 2022 to Mar 8, 2023
- HNW RAUM · $19.9M to $14.9MMar 24, 2022 to Mar 8, 2023
- Individual RAUM · $27.7M to $26.1MMar 24, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $222M to $206MMar 24, 2022 to Mar 8, 2023
Signals
1 dated events
- S••••• G•••• R••••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)May 18, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 267-433-1050reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 267-433-1051reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 267-433-1054reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/S•••••-GROUP-RETIREMENT-P••reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 484-467-7899reportedpublic record, Form ADV, Feb 26, 2026
- Contact form
- sgretirementplanners.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- sgretirementplanners.com/teamreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026