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
A•••• W••••• P••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Jul 20, 2015 · 25 filings
SEC status approved since Jul 24, 2015
RAUM
$234M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$214M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$77.9M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$234M as of Mar 10, 2026
Mar 22, 2016$91.1M then
HNW client RAUM$153M as of Mar 10, 2026
Mar 26, 2018$44.1M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 22, 20162 then
Employees (5.A)3 as of Mar 10, 2026
Mar 22, 20162 then
Private funds: no history
RAUM +5.2% over the last fiscal year+13% a year over threeIARs 2 to 2offices 0 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $77.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $283,341derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M65%
- Individuals$60.8M26%
- Pension and profit-sharing plans$19.4M8.3%
- Charitable organizations$697,7650.3%
- Individual clients
- 229reported
- HNW clients
- 68reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 825reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J••••• J••••••Certified Financial Planner | Wyomissing, Pa | Oct 1, 2015 | 18 y | 3 |
| S••• P•••••• M•••••••••Certified Financial Planner | Wyomissing, Pa | Oct 1, 2015 | 28 y | 1 |
| K••• H••••••••• | Wyomissing, Pa | Jul 17, 2026 | 10 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
- M•••••• J••••• J•••••• from L•• F•••••••• L••Oct 1, 2015 · Other
- S••• P•••••• M••••••••• from M••••• S••••••Oct 1, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••• M••••••• J••••• · Managing Member, Ccocontrolsince 09/2015 · owns 25% to 50%
- M••••••••• S•••• P•••••• · Managing Membercontrolsince 09/2015 · 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 |
|---|---|---|---|---|---|
| Wyomissing, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 812 to 825Mar 20, 2025 to Mar 10, 2026
- Charity clients · 1.0 to unsetMar 20, 2025 to Mar 10, 2026
- HNW clients · 64 to 68Mar 20, 2025 to Mar 10, 2026
- Individual clients · 253 to 229Mar 20, 2025 to Mar 10, 2026
- Pension plan clients · 19 to 17Mar 20, 2025 to Mar 10, 2026
- Financial planning clients · 0 to More than 500Mar 20, 2025 to Mar 10, 2026
- Other offices · 0 to 2Mar 20, 2025 to Mar 10, 2026
- Discretionary RAUM · $222M to $234MMar 20, 2025 to Mar 10, 2026
- HNW RAUM · $140M to $153MMar 20, 2025 to Mar 10, 2026
- Individual RAUM · $62.5M to $60.8MMar 20, 2025 to Mar 10, 2026
- Pension RAUM · $8.7M to $19.4MMar 20, 2025 to Mar 10, 2026
- RAUM · $222M to $234MMar 20, 2025 to Mar 10, 2026
- Accounts · 780 to 812Aug 20, 2024 to Mar 20, 2025
- Charity clients · unset to 1.0Aug 20, 2024 to Mar 20, 2025
- HNW clients · 62 to 64Aug 20, 2024 to Mar 20, 2025
- Individual clients · 208 to 253Aug 20, 2024 to Mar 20, 2025
- Pension plan clients · unset to 19.0Aug 20, 2024 to Mar 20, 2025
- Pooled vehicle clients · 1.0 to unsetAug 20, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Aug 20, 2024 to Mar 20, 2025
- Discretionary RAUM · $191M to $222MAug 20, 2024 to Mar 20, 2025
- HNW RAUM · $120M to $140MAug 20, 2024 to Mar 20, 2025
- Individual RAUM · $57.2M to $62.5MAug 20, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $178,834 to $0Aug 20, 2024 to Mar 20, 2025
- Pension RAUM · $10.5M to $8.7MAug 20, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · 3142895.0 to unsetAug 20, 2024 to Mar 20, 2025
- RAUM · $191M to $222MAug 20, 2024 to Mar 20, 2025
- Accounts · 759 to 780Mar 2, 2023 to Mar 26, 2024
- Advisory activities · 2 to 1Mar 2, 2023 to Mar 26, 2024
- HNW clients · 60 to 62Mar 2, 2023 to Mar 26, 2024
- Individual clients · 278 to 208Mar 2, 2023 to Mar 26, 2024
- Pooled vehicle clients · unset to 1.0Mar 2, 2023 to Mar 26, 2024
- Discretionary RAUM · $163M to $191MMar 2, 2023 to Mar 26, 2024
- HNW RAUM · $84.0M to $120MMar 2, 2023 to Mar 26, 2024
- Individual RAUM · $71.4M to $57.2MMar 2, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $0 to $178,834Mar 2, 2023 to Mar 26, 2024
- Pension RAUM · $7.4M to $10.5MMar 2, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · unset to 3142895.0Mar 2, 2023 to Mar 26, 2024
- RAUM · $163M to $191MMar 2, 2023 to Mar 26, 2024
- Accounts · 740 to 759Mar 24, 2022 to Feb 28, 2023
- HNW clients · 44 to 60Mar 24, 2022 to Feb 28, 2023
Signals
2 dated events
- A•••• W••••• P••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 2, 2015 · Succession (Item 4) · fact
- D••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 20, 2015 · 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 email
- i•••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- j••••@a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-568-1301reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-268-6807reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-477-1006reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 610-268-6807reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $77.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026