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
P••••••••• A•••••••• L••
Latest filing Feb 23, 2026
First filing on the tape Jun 30, 2020 · 13 filings
SEC status approved since Jul 31, 2020
RAUM
$376M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$376M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
8
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$376M as of Feb 23, 2026
Mar 30, 2021$134M then
HNW client RAUM$290M as of Feb 23, 2026
Mar 30, 2021$70.9M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 30, 20211 then
Employees (5.A)8 as of Feb 23, 2026
Mar 30, 20214 then
Private funds: no history
RAUM +25% over the last fiscal year+27% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 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
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 145derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $368,042derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $164M, 274 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$290M77%
- Individuals$86.2M23%
- Individual clients
- 171reported
- HNW clients
- 118reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,021reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $164M for 274 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| D••••• N•• B••••• | Clearwater, Fl | Aug 9, 2016 | 11 y | 0 |
| A••••• L•• B••••• | Horsham, Pa | Sep 20, 2023 | 14 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
- B•••••• D•••••• N•• · Manager/Chief Compliance Officercontrolsince 01/2016 · owns 50% to 75%
- B•••••• L•••• J•••• · Managercontrolsince 01/2016 · owns 50% to 75%
Related persons
Schedule D 7.A
- C•••••••• U• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Horsham, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 988 to 1,021Jul 3, 2025 to Feb 23, 2026
- HNW clients · 99 to 118Jul 3, 2025 to Feb 23, 2026
- Individual clients · 169 to 171Jul 3, 2025 to Feb 23, 2026
- Assets in custody · $98.0M to $164MJul 3, 2025 to Feb 23, 2026
- Employees · 7 to 8Jul 3, 2025 to Feb 23, 2026
- Financial planning clients · 251-500 to 51-100Jul 3, 2025 to Feb 23, 2026
- HQ city · FORT WASHINGTON to HORSHAMJul 3, 2025 to Feb 23, 2026
- Discretionary RAUM · $301M to $376MJul 3, 2025 to Feb 23, 2026
- HNW RAUM · $221M to $290MJul 3, 2025 to Feb 23, 2026
- Individual RAUM · $79.3M to $86.2MJul 3, 2025 to Feb 23, 2026
- RAUM · $301M to $376MJul 3, 2025 to Feb 23, 2026
- Financial planning clients · 251-500 to 251-500Feb 26, 2025 to Jul 3, 2025
- Accounts · 925 to 988Mar 21, 2024 to Feb 26, 2025
- Advisory employees · 3 to 2Mar 21, 2024 to Feb 26, 2025
- HNW clients · 77 to 99Mar 21, 2024 to Feb 26, 2025
- Individual clients · 166 to 169Mar 21, 2024 to Feb 26, 2025
- Assets in custody · $177M to $98.0MMar 21, 2024 to Feb 26, 2025
- Custody of client assets · false to trueMar 21, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 251-500Mar 21, 2024 to Feb 26, 2025
- Discretionary RAUM · $250M to $301MMar 21, 2024 to Feb 26, 2025
- HNW RAUM · $171M to $221MMar 21, 2024 to Feb 26, 2025
- Individual RAUM · $79.9M to $79.3MMar 21, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $786,051 to $0Mar 21, 2024 to Feb 26, 2025
- RAUM · $251M to $301MMar 21, 2024 to Feb 26, 2025
- Accounts · 870 to 925Mar 27, 2023 to Mar 21, 2024
- Advisory activities · 5 to 3Mar 27, 2023 to Mar 21, 2024
- HNW clients · 84 to 77Mar 27, 2023 to Mar 21, 2024
- Individual clients · 138 to 166Mar 27, 2023 to Mar 21, 2024
- Assets in custody · $54.0M to $177MMar 27, 2023 to Mar 21, 2024
- Custody of client assets · true to falseMar 27, 2023 to Mar 21, 2024
- Employees · 5 to 7Mar 27, 2023 to Mar 21, 2024
- State-registered IARs · 1 to 2Mar 27, 2023 to Mar 21, 2024
- Discretionary RAUM · $180M to $250MMar 27, 2023 to Mar 21, 2024
- HNW RAUM · $133M to $171MMar 27, 2023 to Mar 21, 2024
- Individual RAUM · $48.5M to $79.9MMar 27, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $1.3M to $786,051Mar 27, 2023 to Mar 21, 2024
- RAUM · $182M to $251MMar 27, 2023 to Mar 21, 2024
- Accounts · 794 to 870Mar 29, 2022 to Mar 27, 2023
- HNW clients · 74 to 84Mar 29, 2022 to Mar 27, 2023
- Individual clients · 38 to 138Mar 29, 2022 to Mar 27, 2023
Signals
1 dated events
- P••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 30, 2020 · 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
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 267-405-6166reportedpublic record, Form ADV, Feb 23, 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
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026