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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Former SEC-registered adviser

F••• P••• C•••••• G••••• L••

Former SEC-registered adviserP•••Sburgh, PennsylvaniaCRD 281385SEC 801-106608IAPD
Latest filing Aug 30, 2024
First filing on the tape Aug 26, 2015 · 40 filings
RAUM
$5.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$4.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
74
47 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$5.2B as of Mar 26, 2024
Mar 14, 2016$1.9B then
HNW client RAUM$1.4B as of Mar 26, 2024
Mar 28, 2018$460M then
State-registered IARs (5.B.3)26 as of Mar 26, 2024
Mar 14, 201612 then
Employees (5.A)74 as of Mar 26, 2024
Mar 14, 201630 then
Private funds: no history
RAUM +20% over the last fiscal year+8.3% a year over threeIARs 27 to 26
Practice profile
derived from the filing of Aug 30, 2024; every figure names its basis
RAUM per advisor
$198MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
123derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$562,639derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
13.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+20%derivedbetween the last two annual amendments
Advisor growth, one year
-3.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.8%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, educational seminars, otherreportedItem 5.G
Financial planning clients
3,000reportedItem 5.H
Custody
$1.7B, 1,344 clientsreportedItem 9.A
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • controlled by a public reporting company (10.A)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$3.4B66%
  • High-net-worth individuals$1.4B26%
  • Pension and profit-sharing plans$207M4.0%
  • Corporations and businesses$119M2.3%
  • Investment companies$60.9M1.2%
  • Charitable organizations$21.5M0.4%
  • State and municipal entities$4.7M0.1%
  • Insurance companies$3,8120.0%
Individual clients
2,820reported
HNW clients
376reported
Pension plan clients
63reported
Charitable clients
57reported
Accounts
9,164reported
Financial planning clients
3,000reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 1,344 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• M••••••• N•• · Managing Director And Chief Growth Officercontrol
      since 08/2015 · owns less than 5%
    • B•••••• T•••••••• M••••• · Managing Director And Chief Executive Officercontrol
      since 08/2015 · owns less than 5%
    • D••••• J•••• T••• · Managing Director And Chief O•••••••• Officercontrol
      since 08/2015 · owns less than 5%
    • E••• D•••••• T• · Chief Investment Officercontrol
      since 01/2021 · owns less than 5%
    • S••••••••• J••• A• · Managing Director And Chief Of Asset Managementcontrol
      since 01/2018 · owns less than 5%
    • G•••••• M•••• J••• · Chief Compliance Officer
      since 03/2018 · owns less than 5%
    Entity owners
    • F•••• O••••••••• L•• · Member/Manager
      direct · owns 75% or more
    • C••• F•••••••• C••••••••• L• · Partner
      indirect · owns 25% to 50% of C••• F•••••••• H••••••• L•
    • C••• F•••••••• H••••••• L• · Partner
      indirect · owns 50% to 75% of F•••••••• F•• U••••••• H••••••• L•
    • C•••••• D••••••• • R••• F••• X•• L• · Partner
      indirect · owns 50% to 75% of C••• F•••••••• H••••••• L•
    • F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stock
      indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
    • F•••••••• F•• I••••••••• H••••••• L•• · Member
      indirect · owns 75% or more of F•••••••• F•• A••••••••• L••
    • F•••••••• F•• P••••• I••• · Member
      indirect · owns 75% or more of F•••••••• F•• I••••••••• H••••••• L••
    • F•••••••• F•• U••••••• H••••••• L• · Shareholder
      indirect · owns 75% or more of F•••••••• F•• P••••• I•••
    • F•••••••• F•• U••••••• H••••••• L• · Shareholder, Class B Common Stock
      indirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
    • F•••• F•••••••• P••••••• I••• · Member
      indirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
    • F•••• F•••••••• P•••••••• L•• · Member
      indirect · owns 75% or more of F•••• O••••••••• L••
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    P•••Sburgh, Pa · principal000
    Offices
    Schedule D 1.F, the 25 largest
    • Harrisburg, PA4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 8,521 to 9,164
      Mar 4, 2024 to Mar 26, 2024
    • Advisory employees · 44 to 47
      Mar 4, 2024 to Mar 26, 2024
    • Charity clients · 53 to 57
      Mar 4, 2024 to Mar 26, 2024
    • Corporate clients · 44 to 48
      Mar 4, 2024 to Mar 26, 2024
    • HNW clients · 352 to 376
      Mar 4, 2024 to Mar 26, 2024
    • Individual clients · 2,726 to 2,820
      Mar 4, 2024 to Mar 26, 2024
    • Pension plan clients · 61 to 63
      Mar 4, 2024 to Mar 26, 2024
    • Assets in custody · $1.4B to $1.7B
      Mar 4, 2024 to Mar 26, 2024
    • Employees · 69 to 74
      Mar 4, 2024 to Mar 26, 2024
    • State-registered IARs · 27 to 26
      Mar 4, 2024 to Mar 26, 2024
    • Discretionary RAUM · $4.3B to $5.1B
      Mar 4, 2024 to Mar 26, 2024
    • HNW RAUM · $1.1B to $1.4B
      Mar 4, 2024 to Mar 26, 2024
    • Individual RAUM · $2.8B to $3.4B
      Mar 4, 2024 to Mar 26, 2024
    • Non-discretionary RAUM · $7.9M to $9.8M
      Mar 4, 2024 to Mar 26, 2024
    • Pension RAUM · $168M to $207M
      Mar 4, 2024 to Mar 26, 2024
    • RAUM · $4.3B to $5.2B
      Mar 4, 2024 to Mar 26, 2024
    • Accounts · 7,857 to 8,521
      Jul 5, 2022 to Mar 30, 2023
    • Advisory employees · 43 to 44
      Jul 5, 2022 to Mar 30, 2023
    • Charity clients · 46 to 53
      Jul 5, 2022 to Mar 30, 2023
    • Corporate clients · 43 to 44
      Jul 5, 2022 to Mar 30, 2023
    • HNW clients · 299 to 352
      Jul 5, 2022 to Mar 30, 2023
    • Individual clients · 2,580 to 2,726
      Jul 5, 2022 to Mar 30, 2023
    • Pension plan clients · 54 to 61
      Jul 5, 2022 to Mar 30, 2023
    • Assets in custody · $1.5B to $1.4B
      Jul 5, 2022 to Mar 30, 2023
    • Employees · 65 to 69
      Jul 5, 2022 to Mar 30, 2023
    • Discretionary RAUM · $5.0B to $4.3B
      Jul 5, 2022 to Mar 30, 2023
    • HNW RAUM · $1.2B to $1.1B
      Jul 5, 2022 to Mar 30, 2023
    • Individual RAUM · $3.4B to $2.8B
      Jul 5, 2022 to Mar 30, 2023
    • Non-discretionary RAUM · $5.8M to $7.9M
      Jul 5, 2022 to Mar 30, 2023
    • Pension RAUM · $159M to $168M
      Jul 5, 2022 to Mar 30, 2023
    • RAUM · $5.0B to $4.3B
      Jul 5, 2022 to Mar 30, 2023
    • Accounts · 6,986 to 7,857
      Nov 30, 2021 to Mar 29, 2022
    • Advisory employees · 46 to 43
      Nov 30, 2021 to Mar 29, 2022
    • Charity clients · 42 to 46
      Nov 30, 2021 to Mar 29, 2022
    • Corporate clients · 32 to 43
      Nov 30, 2021 to Mar 29, 2022
    • HNW clients · 215 to 299
      Nov 30, 2021 to Mar 29, 2022
    • Individual clients · 2,432 to 2,580
      Nov 30, 2021 to Mar 29, 2022
    • Pension plan clients · 35 to 54
      Nov 30, 2021 to Mar 29, 2022
    • Assets in custody · $1.2B to $1.5B
      Nov 30, 2021 to Mar 29, 2022
    • Employees · 64 to 65
      Nov 30, 2021 to Mar 29, 2022
    Signals
    10 dated events
    • B•••• J• J•••••••• left F••• P••• C•••••• G••••• L•• for R•••• W••••• A••••••• L•• (registered 2026-07-21)
      Jun 24, 2024 · Advisor changed firm · fact
    • M•••• W••••••••• left F••• P••• C•••••• G••••• L•• for Mariner (registered 2024-03-19)
      Mar 18, 2024 · Advisor changed firm · fact
    • D•••• Z••••• left F••• P••• C•••••• G••••• L•• for P•• W••••• M••••••••• (registered 2024-01-16)
      Sep 7, 2023 · Advisor changed firm · fact
    • D•••• A•••••• G••••• left F••• P••• C•••••• G••••• L•• for U•• S••••••••• I••• (registered 2023-08-18)
      Apr 4, 2023 · Advisor changed firm · fact
    • T. Daniel Eye (Chief Investment Officer) appeared on Schedule A of F••• P••• C•••••• G••••• L••
      Mar 30, 2023 · Control person joined · fact
    • E••••• M• L••••••• left F••• P••• C•••••• G••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2023-08-04)
      Dec 2, 2022 · Advisor changed firm · fact
    • Adam Charles Smith (Managing Director) no longer on Schedule A of F••• P••• C•••••• G••••• L•• (listed 2022-05-05, absent 2022-07-01)
      Jul 1, 2022 · Control person left · inference
    • Al Jay Sommariva (Managing Director And Chief Of Asset Management) appeared on Schedule A of F••• P••• C•••••• G••••• L••
      Jul 1, 2022 · Control person joined · fact
    • F••• P••• C•••••• G••••• L•• reported RAUM $3.4B, up 39% from $2.5B (2019-07-31 to 2019-10-31)
      Oct 31, 2019 · RAUM change · derived
    • F••• P••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Aug 26, 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026