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

N••••••••• S••• A•••• M••••••••• I•••

Former SEC-registered adviserWormleysburg, PennsylvaniaCRD 171891SEC 801-80227websiteIAPD
Latest filing Mar 18, 2025
First filing on the tape Aug 14, 2014 · 28 filings
SEC status approved since Aug 20, 2014
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$203M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$236M as of Mar 18, 2025
Mar 17, 2015$199M then
HNW client RAUM$136M as of Mar 18, 2025
Jan 30, 2018$64.0M then
State-registered IARs (5.B.3)3 as of Mar 18, 2025
Mar 17, 20152 then
Employees (5.A)3 as of Mar 18, 2025
Mar 17, 20152 then
Private funds: no history
RAUM +14% over the last fiscal year+4.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 2025; every figure names its basis
RAUM per advisor
$78.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
120derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$283,159derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.4%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$46.6M, 145 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)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$136M58%
  • Individuals$66.9M28%
  • Pension and profit-sharing plans$27.8M12%
  • Charitable organizations$5.4M2.3%
  • Corporations and businesses$1640.0%
Individual clients
280reported
HNW clients
80reported
Pension plan clients
7reported
Charitable clients
2reported
Accounts
834reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$46.6M for 145 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• P•••• S••• · President / Managing Membercontrol
      since 08/2014 · owns 50% to 75%
    • F••••••• K••••••• R•••••• · Managing Member, Chief Compliance Officer, Chief Investment Officercontrol
      since 08/2014 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • B• • D• T•• S•••••••• I••• D•••• D••••• T•• • P•••••• S•••••••
      insurancen
    • S••••••••• I•••••••• S•••••••• I••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Wormleysburg, Pa · principal003
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 788 to 834
      Mar 13, 2024 to Mar 18, 2025
    • HNW clients · 77 to 80
      Mar 13, 2024 to Mar 18, 2025
    • Individual clients · 271 to 280
      Mar 13, 2024 to Mar 18, 2025
    • Assets in custody · $55.5M to $46.6M
      Mar 13, 2024 to Mar 18, 2025
    • Discretionary RAUM · $208M to $236M
      Mar 13, 2024 to Mar 18, 2025
    • HNW RAUM · $122M to $136M
      Mar 13, 2024 to Mar 18, 2025
    • Individual RAUM · $55.0M to $66.9M
      Mar 13, 2024 to Mar 18, 2025
    • Pension RAUM · $24.6M to $27.8M
      Mar 13, 2024 to Mar 18, 2025
    • RAUM · $208M to $236M
      Mar 13, 2024 to Mar 18, 2025
    • Accounts · 798 to 788
      Oct 23, 2023 to Mar 13, 2024
    • HNW clients · 72 to 77
      Oct 23, 2023 to Mar 13, 2024
    • Individual clients · 279 to 271
      Oct 23, 2023 to Mar 13, 2024
    • Assets in custody · unset to 55488151.0
      Oct 23, 2023 to Mar 13, 2024
    • Custody of client assets · false to true
      Oct 23, 2023 to Mar 13, 2024
    • Discretionary RAUM · $185M to $208M
      Oct 23, 2023 to Mar 13, 2024
    • HNW RAUM · $107M to $122M
      Oct 23, 2023 to Mar 13, 2024
    • Individual RAUM · $52.0M to $55.0M
      Oct 23, 2023 to Mar 13, 2024
    • Pension RAUM · $21.0M to $24.6M
      Oct 23, 2023 to Mar 13, 2024
    • RAUM · $185M to $208M
      Oct 23, 2023 to Mar 13, 2024
    • Accounts · 806 to 798
      Nov 4, 2022 to Mar 9, 2023
    • HNW clients · 71 to 72
      Nov 4, 2022 to Mar 9, 2023
    • Individual clients · 296 to 279
      Nov 4, 2022 to Mar 9, 2023
    • Pension plan clients · 5 to 7
      Nov 4, 2022 to Mar 9, 2023
    • Discretionary RAUM · $207M to $185M
      Nov 4, 2022 to Mar 9, 2023
    • HNW RAUM · $120M to $107M
      Nov 4, 2022 to Mar 9, 2023
    • Individual RAUM · $56.9M to $52.0M
      Nov 4, 2022 to Mar 9, 2023
    • Pension RAUM · $24.3M to $21.0M
      Nov 4, 2022 to Mar 9, 2023
    • RAUM · $207M to $185M
      Nov 4, 2022 to Mar 9, 2023
    • Accounts · 758 to 806
      Mar 18, 2021 to Mar 22, 2022
    • HNW clients · 54 to 71
      Mar 18, 2021 to Mar 22, 2022
    • Individual clients · 292 to 296
      Mar 18, 2021 to Mar 22, 2022
    • Discretionary RAUM · $178M to $207M
      Mar 18, 2021 to Mar 22, 2022
    • HNW RAUM · $91.6M to $120M
      Mar 18, 2021 to Mar 22, 2022
    • Individual RAUM · $59.2M to $56.9M
      Mar 18, 2021 to Mar 22, 2022
    • Pension RAUM · $22.0M to $24.3M
      Mar 18, 2021 to Mar 22, 2022
    • RAUM · $178M to $207M
      Mar 18, 2021 to Mar 22, 2022
    • Accounts · 766 to 758
      Dec 1, 2020 to Mar 17, 2021
    • Corporate clients · 0 to 1
      Dec 1, 2020 to Mar 17, 2021
    • HNW clients · 52 to 54
      Dec 1, 2020 to Mar 17, 2021
    • Individual clients · 306 to 292
      Dec 1, 2020 to Mar 17, 2021
    Signals
    6 dated events
    • N••••••••• S••• A•••• M••••••••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $236.2M)
      Dec 20, 2025 · Left the SEC roster · derived
    • K•••••• R•••••• F•••••• left N••••••••• S••• A•••• M••••••••• I••• for T••••••• A•••••• N••••••• L•• (registered 2025-10-01)
      Nov 14, 2025 · a•••••• firm change · fact
    • L•••••• M•• C••••• left N••••••••• S••• A•••• M••••••••• I••• for T••••••• A•••••• N••••••• L•• (registered 2025-10-01)
      Nov 14, 2025 · a•••••• firm change · fact
    • P••• S••• D•••••••• left N••••••••• S••• A•••• M••••••••• I••• for T••••••• A•••••• N••••••• L•• (registered 2025-10-01)
      Nov 14, 2025 · a•••••• firm change · fact
    • N••••••••• S••• A•••• M••••••••• I•••'s advisors moved to T••••••• A•••••• N••••••• L•• (Wormleysburg, PA): 3 of 3 registered, on the same day
      Nov 14, 2025 · Firm absorbed (people side) · derived
    • N••••••••• S••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Aug 14, 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.
    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