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
I•••
Legal name I••••••••• F•••••••• P••••••• S•••••••
Latest filing May 5, 2026
First filing on the tape Mar 6, 2013 · 18 filings
SEC status approved since Mar 5, 2025
RAUM
$4.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$2.0M
derived; firm RAUM over IAPD count
Employees
21
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$4.1M as of May 5, 2026
Mar 3, 2025$0 then
HNW client RAUM$0 as of May 5, 2026
Mar 2, 2026$0 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Feb 20, 20142 then
Employees (5.A)21 as of May 5, 2026
Feb 20, 201445 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $2.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 14derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $94,203derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$4.1M100%
- Individual clients
- 27reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 43reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=20.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• L• P••••Certified Financial Planner | Heidelberg | Mar 7, 2025 | 22 y | 0 |
| B•••• C••••••••• N•••Certified Financial Planner | Heidelberg | Mar 14, 2025 | 13 y | 2 |
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
- N••••••• G••••••• C••••••••• to A•••••••• W••••• P•••••••• L••Oct 23, 2017 · Other
Joined, latest
- B•••• C••••••••• N••• from F•••• C•••••• A••••••• S•••••••Mar 14, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• B•••• E••••• · Chief Compliance Officercontrolsince 08/2014 · owns 75% or more
- S••••••• B•••• E••••• · Presidentcontrolsince 06/1986 · owns 75% or more
- C••••• K•••• P•••• · Financial & Operations Principalsince 02/2006 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 43Jul 18, 2025 to Mar 2, 2026
- Charity clients · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Corporate clients · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- HNW clients · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Individual clients · 0 to 27Jul 18, 2025 to Mar 2, 2026
- Pension plan clients · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Pooled vehicle clients · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Financial planning clients · 0 to 26-50Jul 18, 2025 to Mar 2, 2026
- Discretionary RAUM · $0 to $4.1MJul 18, 2025 to Mar 2, 2026
- HNW RAUM · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Individual RAUM · $0 to $4.1MJul 18, 2025 to Mar 2, 2026
- Pension RAUM · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · unset to 0.0Jul 18, 2025 to Mar 2, 2026
- RAUM · $0 to $4.1MJul 18, 2025 to Mar 2, 2026
- Financial planning clients · 0 to 0Apr 17, 2025 to Jul 18, 2025
- Other offices · 0 to 2Apr 17, 2025 to Jul 18, 2025
- Business name · I••••••••• F•••••••• P••••••• S••••••• to I•••Mar 3, 2025 to Apr 17, 2025
- Accounts · unset to 0.0Jun 26, 2020 to Mar 3, 2025
- Advisory employees · 0 to 3Jun 26, 2020 to Mar 3, 2025
- BD registered reps · 26 to 20Jun 26, 2020 to Mar 3, 2025
- Employees · 29 to 21Jun 26, 2020 to Mar 3, 2025
- HQ state · unset to Jun 26, 2020 to Mar 3, 2025
- Discretionary RAUM · unset to 0.0Jun 26, 2020 to Mar 3, 2025
- Non-discretionary RAUM · unset to 0.0Jun 26, 2020 to Mar 3, 2025
- RAUM · unset to 0.0Jun 26, 2020 to Mar 3, 2025
- BD registered reps · 41 to 26Feb 28, 2019 to Feb 5, 2020
- Employees · 45 to 29Feb 28, 2019 to Feb 5, 2020
- Other offices · 1 to 0Feb 28, 2019 to Feb 5, 2020
- Advisory employees · 2 to 0Jun 8, 2017 to Mar 13, 2018
- Individual clients · unset to 0.0Jun 8, 2017 to Mar 13, 2018
- State-registered IARs · 2 to 0Jun 8, 2017 to Mar 13, 2018
- Other offices · unset to 1.0Jun 8, 2017 to Mar 13, 2018
- Individual RAUM · unset to 0.0Jun 8, 2017 to Mar 13, 2018
- Accounts · 0.0 to unsetAug 15, 2013 to Feb 20, 2014
- Discretionary RAUM · 0.0 to unsetAug 15, 2013 to Feb 20, 2014
- Non-discretionary RAUM · 0.0 to unsetAug 15, 2013 to Feb 20, 2014
- RAUM · 0.0 to unsetAug 15, 2013 to Feb 20, 2014
Signals
1 dated events
- I••••••••• F•••••••• P••••••• S••••••• filed its initial SEC registration (Form ADV)Mar 6, 2013 · ria f•••• adv filing · 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
- Website
- I•••ONLINE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 443-450-4543reportedpublic record, Form ADV, May 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
- $2.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026