DFX Intelligence
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C••••• W••••• A•••••••• L••
Independent wealth managerSEC-registered· Blue Bell, Pennsylvania
Independent wealth manager, based in Blue Bell, Pennsylvania, reporting $140M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $140M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +2.8%
- Private clients
- 100% of RAUM, $140M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 281132 · SEC 801-129867 · 5 filingsShowHide
CRD 281132SEC 801-129867First filing on the tape Mar 8, 2024, latest Feb 3, 2026SEC status approved since Apr 9, 2024IAPD
RAUM
$140M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$140M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$69.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$140M as of Feb 3, 2026
Feb 21, 2025$136M then
HNW client RAUM$138M as of Feb 3, 2026
Feb 21, 2025$133M then
State-registered IARs (5.B.3)2 as of Feb 3, 2026
Feb 21, 20252 then
Employees (5.A)2 as of Feb 3, 2026
Feb 21, 20252 then
Private funds: no history
RAUM +2.8% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 3, 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
- RAUM per advisor
- $69.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.7MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M99%
- Individuals$1.6M1.2%
- Individual clients
- n/areported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 91reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C• C•••••Chartered Financial Analyst | Blue Bell, Pa | Sep 9, 2015 | 17 y | 0 |
| L••••• A• C••••• | Blue Bell, Pa | Sep 9, 2015 | 39 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
- C•••••• B••••• C• · Managing Partner And Chief Compliance Officercontrolsince 08/2015 · owns 75% or more
- C•••••• L•••••• A• · Managing Partnercontrolsince 08/2015 · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••• • C••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Blue Bell, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 82 to 91Feb 21, 2025 to Feb 3, 2026
- HNW clients · 21 to 18Feb 21, 2025 to Feb 3, 2026
- Individual clients · 8.0 to unsetFeb 21, 2025 to Feb 3, 2026
- Discretionary RAUM · $122M to $127MFeb 21, 2025 to Feb 3, 2026
- HNW RAUM · $133M to $138MFeb 21, 2025 to Feb 3, 2026
- Individual RAUM · $2.4M to $1.6MFeb 21, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $13.9M to $12.9MFeb 21, 2025 to Feb 3, 2026
- RAUM · $136M to $140MFeb 21, 2025 to Feb 3, 2026
- Accounts · 89 to 82Oct 1, 2024 to Feb 21, 2025
- Corporate clients · 7.0 to unsetOct 1, 2024 to Feb 21, 2025
- HNW clients · 12 to 21Oct 1, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Oct 1, 2024 to Feb 21, 2025
- Discretionary RAUM · $133M to $122MOct 1, 2024 to Feb 21, 2025
- HNW RAUM · $116M to $133MOct 1, 2024 to Feb 21, 2025
- Individual RAUM · $2.7M to $2.4MOct 1, 2024 to Feb 21, 2025
- Non-discretionary RAUM · $11.9M to $13.9MOct 1, 2024 to Feb 21, 2025
- RAUM · $145M to $136MOct 1, 2024 to Feb 21, 2025
Signals
1 dated events
- ••• LockedMar 8, 2024 · 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
- ••• Lockedreportedpublic record, Form ADV, Feb 3, 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
- $69.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026