DFX Intelligence
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SEC-registered adviser
Y•••• I••••••••• M••••••••• L••
Latest filing Feb 5, 2026
First filing on the tape Oct 31, 2014 · 19 filings
SEC status approved since Nov 10, 2014
RAUM
$175M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$175M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$175M as of Feb 5, 2026
Jan 30, 2015$110M then
HNW client RAUM$173M as of Feb 5, 2026
Feb 7, 2018$129M then
State-registered IARs (5.B.3)1 as of Feb 5, 2026
Jan 30, 20151 then
Employees (5.A)1 as of Feb 5, 2026
Jan 30, 20151 then
Private funds: no history
RAUM +17% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.3MderivedHNW RAUM over HNW clients
- Average account
- $3.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $100M, 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
- 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$173M99%
- Individuals$1.6M0.9%
- Charitable organizations$51,2580.0%
- Individual clients
- 2reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 46reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $100M for 8 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• N• Y•••• | Lemoyne, Pa | Nov 10, 2014 | 36 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Y••••• J••••••• N• · Sole Member/Chief Compliance Officercontrolsince 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
- Y•••• • Y••••• P•••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 47 to 46Oct 10, 2025 to Feb 5, 2026
- Individual clients · 3 to 2Oct 10, 2025 to Feb 5, 2026
- Assets in custody · $86.2M to $100MOct 10, 2025 to Feb 5, 2026
- Discretionary RAUM · $150M to $175MOct 10, 2025 to Feb 5, 2026
- HNW RAUM · $148M to $173MOct 10, 2025 to Feb 5, 2026
- Individual RAUM · $1.5M to $1.6MOct 10, 2025 to Feb 5, 2026
- RAUM · $150M to $175MOct 10, 2025 to Feb 5, 2026
- Accounts · 44 to 47Feb 27, 2024 to Feb 12, 2025
- Advisory activities · 1 to 2Feb 27, 2024 to Feb 12, 2025
- Assets in custody · $78.2M to $86.2MFeb 27, 2024 to Feb 12, 2025
- Financial planning clients · 11-25 to 11-25Feb 27, 2024 to Feb 12, 2025
- Discretionary RAUM · $135M to $150MFeb 27, 2024 to Feb 12, 2025
- HNW RAUM · $133M to $148MFeb 27, 2024 to Feb 12, 2025
- Individual RAUM · $1.4M to $1.5MFeb 27, 2024 to Feb 12, 2025
- RAUM · $135M to $150MFeb 27, 2024 to Feb 12, 2025
- Accounts · 52 to 44Aug 21, 2023 to Feb 27, 2024
- Individual clients · 4 to 3Aug 21, 2023 to Feb 27, 2024
- Assets in custody · $97.7M to $78.2MAug 21, 2023 to Feb 27, 2024
- Discretionary RAUM · $119M to $135MAug 21, 2023 to Feb 27, 2024
- HNW RAUM · $117M to $133MAug 21, 2023 to Feb 27, 2024
- Individual RAUM · $2.3M to $1.4MAug 21, 2023 to Feb 27, 2024
- RAUM · $119M to $135MAug 21, 2023 to Feb 27, 2024
- Accounts · 65 to 52Jan 28, 2022 to Feb 1, 2023
- HNW clients · 11 to 10Jan 28, 2022 to Feb 1, 2023
- Individual clients · 3 to 4Jan 28, 2022 to Feb 1, 2023
- Assets in custody · $150M to $97.7MJan 28, 2022 to Feb 1, 2023
- Discretionary RAUM · $178M to $119MJan 28, 2022 to Feb 1, 2023
- HNW RAUM · $176M to $117MJan 28, 2022 to Feb 1, 2023
- Individual RAUM · $1.5M to $2.3MJan 28, 2022 to Feb 1, 2023
- RAUM · $178M to $119MJan 28, 2022 to Feb 1, 2023
- Accounts · 64 to 65Aug 27, 2021 to Jan 28, 2022
- HNW clients · 10 to 11Aug 27, 2021 to Jan 28, 2022
- Individual clients · 4 to 3Aug 27, 2021 to Jan 28, 2022
- Assets in custody · $139M to $150MAug 27, 2021 to Jan 28, 2022
- Discretionary RAUM · $154M to $178MAug 27, 2021 to Jan 28, 2022
- HNW RAUM · $152M to $176MAug 27, 2021 to Jan 28, 2022
- Individual RAUM · $2.4M to $1.5MAug 27, 2021 to Jan 28, 2022
- RAUM · $154M to $178MAug 27, 2021 to Jan 28, 2022
- Accounts · 58 to 64May 11, 2020 to Feb 23, 2021
- Assets in custody · $128M to $139MMay 11, 2020 to Feb 23, 2021
Signals
1 dated events
- Y•••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 31, 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
- Principal office phone
- 717-343-1120reportedpublic record, Form ADV, Feb 5, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026