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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

A•••• C••• F•••••••• A•••••••• L••

Independent wealth managerJenkintown, PennsylvaniaCRD 226655SEC 801-132864websiteIAPD
Latest filing May 13, 2026
First filing on the tape Apr 25, 2025 · 4 filings
SEC status approved since May 23, 2025
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$167M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$62.2M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$187M as of May 13, 2026
Apr 25, 2025$155M then
HNW client RAUM$133M as of May 13, 2026
Apr 25, 2025$108M then
State-registered IARs (5.B.3)3 as of May 13, 2026
Apr 25, 20253 then
Employees (5.A)5 as of May 13, 2026
Apr 25, 20255 then
Private funds: no history
RAUM +21% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 13, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$62.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$418,325derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 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
+50%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$58.4M, 63 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$133M71%
  • Individuals$34.1M18%
  • Charitable organizations$10.6M5.7%
  • Pension and profit-sharing plans$8.8M4.7%
  • Corporations and businesses$296,6500.2%
Individual clients
124reported
HNW clients
48reported
Pension plan clients
1reported
Charitable clients
4reported
Accounts
446reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$58.4M for 63 clientsreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• A•••••• C•••Certified Financial Planner, Personal Financial SpecialistJenkintown, PaJul 22, 201511 y0
R•••••• E• B•••••Jenkintown, PaJan 6, 202339 y0
P••• K•••••• K•••••••Jenkintown, PaJan 14, 202528 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C•••• A••••• A•••••• · Managing Member/Chief Compliance Officercontrol
      since 04/2015 · owns 50% to 75%
    • B••••• K••••••• P• · Member
      since 05/2015 · owns 10% to 25%
    • F••••••• M••• · Member
      since 05/2015 · owns 10% to 25%
    • L••••• P•••• · Member
      since 05/2015 · owns 10% to 25%
    Entity owners
    • S••••••••• F••• I• L••• · Member
      direct · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Jenkintown, Pa · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 301 to 446
      Oct 30, 2025 to Mar 27, 2026
    • Charity clients · 2 to 4
      Oct 30, 2025 to Mar 27, 2026
    • HNW clients · 40 to 48
      Oct 30, 2025 to Mar 27, 2026
    • Individual clients · 75 to 124
      Oct 30, 2025 to Mar 27, 2026
    • Assets in custody · $52.7M to $58.4M
      Oct 30, 2025 to Mar 27, 2026
    • Discretionary RAUM · $155M to $187M
      Oct 30, 2025 to Mar 27, 2026
    • HNW RAUM · $108M to $133M
      Oct 30, 2025 to Mar 27, 2026
    • Individual RAUM · $30.2M to $34.1M
      Oct 30, 2025 to Mar 27, 2026
    • Pension RAUM · $7.7M to $8.8M
      Oct 30, 2025 to Mar 27, 2026
    • RAUM · $155M to $187M
      Oct 30, 2025 to Mar 27, 2026
    Signals
    No event on the tape.
    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
    Firm profile
    linkedin.com/company/alvin-clay-financial-advisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    267-626-2382reportedpublic record, Form ADV, May 13, 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
    $62.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026