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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Former SEC-registered adviser
B•• I••••••••• M••••••••• I•••
Latest filing Dec 13, 2019
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$517M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
93%
$483M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
24
24 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$517M as of Mar 29, 2019
Mar 30, 2012$501M then
HNW client RAUM$316M as of Mar 29, 2019
Mar 29, 2018$324M then
State-registered IARs (5.B.3)18 as of Mar 29, 2019
Apr 1, 201330 then
Employees (5.A)24 as of Mar 29, 2019
Apr 1, 201350 then
Private funds: no history
RAUM -4.4% over the last fiscal year-9.5% a year over threeIARs 19 to 18offices 4 to 3
Practice profile
derived from the filing of Dec 13, 2019; every figure names its basis
- RAUM per advisor
- $28.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $267,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%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, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Wrap fee program
- $14.4MreportedItem 5.I
- Custody
- $5.0M, 8 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 a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$316M61%
- Individuals$166M32%
- Corporations and businesses$24.4M4.7%
- Pension and profit-sharing plans$8.4M1.6%
- Insurance companies$1.5M0.3%
- Individual clients
- 768reported
- HNW clients
- 116reported
- Pension plan clients
- 46reported
- Charitable clients
- n/areported
- Accounts
- 1,932reported
- Financial planning clients
- 500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $5.0M for 8 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- P••• J• B••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 27, 2020 · RIA to affiliated broker-dealer or bank
- W•••••• L••••••• B••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- R••••• J••••• S••••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- A•••• B•••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• T••••••• H•••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- D•••• W•••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- J••••• P•••••• B••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- M••• C••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- W•••••• R• B•••••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- M•••••• F•••••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- S••••• L••• R••••• to W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · RIA to affiliated broker-dealer or bank
- N••••• V•• K••• A••••••• to 4•••••• W••••• M••••••••• L••Jan 10, 2020 · Other
- D••••• R• D••••• to M••••• A•••••••• L••Nov 18, 2019 · RIA to affiliated broker-dealer or bank
- E•••• L• G•••• to M••••• A•••••••• L••Oct 15, 2019 · RIA to affiliated broker-dealer or bank
- R•••••• L• H•••• to M••••• A•••••••• L••Aug 1, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• L••• R••••• from L•• F•••••••• L••Nov 13, 2019 · Other
- S••••• E••• B•••••• from Q•••••• A•••• M••••••••• I•••Dec 12, 2016 · Other
- N••••• V•• K••• A••••••• from C••••••••• F•••••••• N••••••Oct 22, 2016 · Other
- S••••• C••• P•••• from S•••••••• A••••••• L••Aug 26, 2016 · Other
- C••••••••• R••• C••••••• from S•••••••• A••••••• L••Aug 23, 2016 · Other
- J••• W••••• H••••• from P••••••••• L•••••Dec 9, 2015 · Other
- M•••••• T••••••• H•••• from N••••••••• S••••••••• L••Sep 28, 2011 · Other
- B••••••••• M•••• L•• from W•••• F•••• A•••••••Sep 20, 2010 · Other
- D••••• R• D••••• from N••••••••• S••••••••• L••Aug 18, 2010 · Other
- M•••••• P••• D•••••••• from L•• F•••••••• L••Jun 28, 2010 · Other
- W•••••• L••••••• B••• from J••••• M••••••••• S•••• L••Jul 7, 2009 · Other
- A•••••• J•••• L••••• from P•••••• W••••• M••••••••• L••Mar 11, 2009 · Other
- R••••• S•••••• B••••• from P•••••• W••••• M••••••••• L••Mar 11, 2009 · Other
- A••••• F•••• H•••• from I••••• F•••••••• C•••••••••Jun 24, 2008 · Other
- M••• A••••• K••••• from N•••••• I••••••••• I•••Apr 22, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 10 left for W••••• E••••••••• A••••••• S•••••••• L••Mar 6, 2020 · Pittsburgh, Pa · Firm absorbed
- 2 joined from S•••••••• A••••••• L••Dec 31, 2016 · Pittsburgh, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• P••• J•••••• · Ceo, Cco, Chief I•••••Ment Officer, Board Membercontrolsince 04/2012 · owns 25% to 50%
- U••••••• D••••• L•••••• · Chief Operations Officer, Finopcontrolsince 02/2017 · owns less than 5%
- U••••••• R••••• A•••••••• · President, Treasurer, Board Membercontrolsince 07/2006 · owns 25% to 50%
- B••••••••• W•••••• R•••••• · Rosp, Board Membersince 04/2013 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• M•••••n
- R••••• J••••• S•••••••n
Offices
Schedule D 1.F, the 25 largest
- Greensburg, PA5 employees
- Wexford, PA4 employees
- Uniontown, PA3 employees
What changed
consecutive filings, newest first
- Other offices · 4 to 3Nov 22, 2019 to Dec 13, 2019
- Accounts · 1,855 to 1,932Oct 12, 2018 to Mar 29, 2019
- Advisory employees · 19 to 24Oct 12, 2018 to Mar 29, 2019
- BD registered reps · 22 to 19Oct 12, 2018 to Mar 29, 2019
- Corporate clients · 57 to 21Oct 12, 2018 to Mar 29, 2019
- HNW clients · 189 to 116Oct 12, 2018 to Mar 29, 2019
- Individual clients · 893 to 768Oct 12, 2018 to Mar 29, 2019
- Pension plan clients · 13 to 46Oct 12, 2018 to Mar 29, 2019
- Assets in custody · $10.4M to $5.0MOct 12, 2018 to Mar 29, 2019
- Employees · 31 to 24Oct 12, 2018 to Mar 29, 2019
- State-registered IARs · 19 to 18Oct 12, 2018 to Mar 29, 2019
- Discretionary RAUM · $519M to $497MOct 12, 2018 to Mar 29, 2019
- HNW RAUM · $324M to $316MOct 12, 2018 to Mar 29, 2019
- Individual RAUM · $178M to $166MOct 12, 2018 to Mar 29, 2019
- Non-discretionary RAUM · $21.9M to $19.7MOct 12, 2018 to Mar 29, 2019
- Pension RAUM · $10.8M to $8.4MOct 12, 2018 to Mar 29, 2019
- RAUM · $541M to $517MOct 12, 2018 to Mar 29, 2019
- Accounts · 1,522 to 1,855Nov 3, 2017 to Mar 29, 2018
- Advisory employees · 23 to 19Nov 3, 2017 to Mar 29, 2018
- BD registered reps · 24 to 22Nov 3, 2017 to Mar 29, 2018
- Corporate clients · unset to 57.0Nov 3, 2017 to Mar 29, 2018
- HNW clients · unset to 189.0Nov 3, 2017 to Mar 29, 2018
- Individual clients · unset to 893.0Nov 3, 2017 to Mar 29, 2018
- Pension plan clients · unset to 13.0Nov 3, 2017 to Mar 29, 2018
- Assets in custody · $3.6M to $10.4MNov 3, 2017 to Mar 29, 2018
- Employees · 33 to 31Nov 3, 2017 to Mar 29, 2018
- State-registered IARs · 23 to 19Nov 3, 2017 to Mar 29, 2018
- Other offices · 3 to 4Nov 3, 2017 to Mar 29, 2018
- Discretionary RAUM · $414M to $519MNov 3, 2017 to Mar 29, 2018
- HNW RAUM · unset to 324077026.0Nov 3, 2017 to Mar 29, 2018
- Individual RAUM · unset to 178471409.0Nov 3, 2017 to Mar 29, 2018
- Non-discretionary RAUM · $15.0M to $21.9MNov 3, 2017 to Mar 29, 2018
- Pension RAUM · unset to 10755828.0Nov 3, 2017 to Mar 29, 2018
- RAUM · $429M to $541MNov 3, 2017 to Mar 29, 2018
- Other offices · unset to 3.0Jun 29, 2017 to Nov 3, 2017
- Wrap assets (manager) · unset to 0.0Jun 29, 2017 to Nov 3, 2017
- Wrap assets (sponsor) · unset to 0.0Jun 29, 2017 to Nov 3, 2017
- Accounts · 1,792 to 1,522Sep 14, 2016 to Mar 31, 2017
- Advisory employees · 21 to 23Sep 14, 2016 to Mar 31, 2017
- BD registered reps · 25 to 24Sep 14, 2016 to Mar 31, 2017
Signals
1 dated events
- B•• I••••••••• M••••••••• I••• reported RAUM $540.8M, up 26% from $428.7M (2017-11-03 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026