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
G•••••••• A•••• M••••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Jun 30, 2016 · 28 filings
SEC status approved since Jul 11, 2016
RAUM
$412M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$411M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$412M as of Jun 29, 2026
Mar 16, 2017$108M then
HNW client RAUM$165M as of Jun 29, 2026
Mar 29, 2018$40.7M then
State-registered IARs (5.B.3)2 as of Jun 29, 2026
Mar 16, 20171 then
Employees (5.A)9 as of Jun 29, 2026
Mar 16, 20174 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 2 to 2offices 3 to 5
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $300,042derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 0.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$246M60%
- High-net-worth individuals$165M40%
- Corporations and businesses$306,2370.1%
- Charitable organizations$10,3610.0%
- Individual clients
- 575reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,372reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $412M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A••• S•••• | Harrisburg, Pa | Jul 10, 2018 | 39 y | 1 |
| G••• G••• K•••••• | Harrisburg, Pa | Nov 3, 2020 | 43 y | 1 |
| T••••• E• P••••• | Harrisburg, Pa | Apr 28, 2024 | 12 y | 0 |
| A••• D•••••• K••••Chartered Financial Analyst | Harrisburg, Pa | Oct 3, 2024 | 15 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 headcount0 left over 36 months
Left, latest
- M•••••• R•••••• K•••• to R••••••••• C••••••••• L••Jun 11, 2018 · RIA to a state-registered adviser
Joined, latest
- G••• G••• K•••••• from M••••• S••••••Nov 3, 2020 · Wirehouse to independent RIA
- B•••• A••• S•••• from I••••••• I••••••••• A••••••• I••Jul 10, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• B••••• A••• · Cco/Ownercontrolsince 02/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Harrisburg, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mechanicsburg, PA2 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- office count surgeChange between filings · filing Mar 17, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 5.0 (+67.0%) between the annual amendments of 2025-03-12 and 2026-03-17; the peer median change was 0.0% (450 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 1,321 to 1,372Mar 12, 2025 to Mar 17, 2026
- HNW clients · 53 to 31Mar 12, 2025 to Mar 17, 2026
- Individual clients · 610 to 575Mar 12, 2025 to Mar 17, 2026
- Employees · 10 to 9Mar 12, 2025 to Mar 17, 2026
- Other offices · 3 to 5Mar 12, 2025 to Mar 17, 2026
- Discretionary RAUM · $336M to $405MMar 12, 2025 to Mar 17, 2026
- HNW RAUM · $155M to $165MMar 12, 2025 to Mar 17, 2026
- Individual RAUM · $184M to $246MMar 12, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $4.3M to $7.1MMar 12, 2025 to Mar 17, 2026
- RAUM · $340M to $412MMar 12, 2025 to Mar 17, 2026
- Wrap assets (manager) · $340M to $412MMar 12, 2025 to Mar 17, 2026
- Accounts · 1,263 to 1,321Mar 13, 2024 to Mar 12, 2025
- Advisory employees · 2 to 4Mar 13, 2024 to Mar 12, 2025
- Advisory activities · 5 to 4Mar 13, 2024 to Mar 12, 2025
- HNW clients · 40 to 53Mar 13, 2024 to Mar 12, 2025
- Individual clients · 555 to 610Mar 13, 2024 to Mar 12, 2025
- Employees · 8 to 10Mar 13, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Mar 13, 2024 to Mar 12, 2025
- Discretionary RAUM · $260M to $336MMar 13, 2024 to Mar 12, 2025
- HNW RAUM · $115M to $155MMar 13, 2024 to Mar 12, 2025
- Individual RAUM · $148M to $184MMar 13, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $3.8M to $4.3MMar 13, 2024 to Mar 12, 2025
- RAUM · $264M to $340MMar 13, 2024 to Mar 12, 2025
- Related adviser · true to falseMar 13, 2024 to Mar 12, 2025
- Wrap assets (manager) · $264M to $340MMar 13, 2024 to Mar 12, 2025
- HNW clients · 37 to 40Oct 5, 2023 to Mar 6, 2024
- Individual clients · 544 to 555Oct 5, 2023 to Mar 6, 2024
- Other offices · 2 to 3Oct 5, 2023 to Mar 6, 2024
- Discretionary RAUM · $219M to $260MOct 5, 2023 to Mar 6, 2024
- HNW RAUM · $77.4M to $115MOct 5, 2023 to Mar 6, 2024
- Individual RAUM · $142M to $148MOct 5, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $391,617 to $3.8MOct 5, 2023 to Mar 6, 2024
- RAUM · $219M to $264MOct 5, 2023 to Mar 6, 2024
- Wrap assets (manager) · $219M to $264MOct 5, 2023 to Mar 6, 2024
- Accounts · 1,265 to 1,263Sep 29, 2022 to Mar 15, 2023
- Advisory employees · 3 to 2Sep 29, 2022 to Mar 15, 2023
- Charity clients · 7.0 to unsetSep 29, 2022 to Mar 15, 2023
- HNW clients · 14 to 37Sep 29, 2022 to Mar 15, 2023
- Individual clients · 795 to 544Sep 29, 2022 to Mar 15, 2023
- Employees · 10 to 8Sep 29, 2022 to Mar 15, 2023
Signals
3 dated events
- James William P••••• (Managing Member/Cco) no longer on Schedule A of G•••••••• A•••• M••••••••• L•• (listed 2021-09-03, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- Alan Bruce Smith (Managing Member/Cco) appeared on Schedule A of G•••••••• A•••• M••••••••• L••Feb 18, 2022 · Control person joined · fact
- G•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2016 · 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
- 717-541-1000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-541-1008reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- grandview.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 717-541-1000reportedpublic record, Form ADV, Jun 29, 2026
- Contact form
- grandviewassetmanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- grandviewassetmanagement.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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026