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
A••••• • P••••••• S••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Dec 22, 2020 · 9 filings
SEC status approved since Feb 5, 2021
RAUM
$187M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$187M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$187M as of Mar 2, 2026
Feb 3, 2021$109M then
HNW client RAUM$114M as of Mar 2, 2026
Feb 3, 2021$82.5M then
State-registered IARs (5.B.3)1 as of Mar 2, 2026
Feb 3, 20212 then
Employees (5.A)1 as of Mar 2, 2026
Feb 3, 20212 then
Private funds: no history
RAUM +10% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 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
- $93.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 160derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $252,866derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$114M61%
- Individuals$73.3M39%
- Individual clients
- 275reported
- HNW clients
- 44reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 740reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• D•••••• N•••••Certified Financial Planner | Youngwood, Pa | May 20, 2016 | 25 y | 3 |
| C•••••••• M•••• B••••• | Youngwood, Pa | Sep 14, 2017 | 16 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 headcount1 left over 36 months
Left, latest
- N••••• K••••••• S••••• to C••• L••Mar 17, 2025 · RIA to affiliated broker-dealer or bank
- T••••• E••••• E••••••••• to B••••••••• W••••• A•••••••• L••Jun 13, 2017 · Other
Joined, latest
- N••••• K••••••• S••••• from C••• L••Aug 18, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••• D•••••• N••••• from G••••• F•••••••• P•••••• C••••••• I•••May 20, 2016 · Other
- T••••• E••••• E••••••••• from G••••• F•••••••• P•••••• C••••••• I•••May 20, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••••• R•••• D•••••• · Chief Compliance Officercontrolsince 04/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Youngwood, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 632 to 740Feb 3, 2025 to Mar 2, 2026
- HNW clients · 101 to 44Feb 3, 2025 to Mar 2, 2026
- Individual clients · 252 to 275Feb 3, 2025 to Mar 2, 2026
- Discretionary RAUM · $158M to $171MFeb 3, 2025 to Mar 2, 2026
- HNW RAUM · $120M to $114MFeb 3, 2025 to Mar 2, 2026
- Individual RAUM · $50.1M to $73.3MFeb 3, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $12.3M to $16.1MFeb 3, 2025 to Mar 2, 2026
- RAUM · $170M to $187MFeb 3, 2025 to Mar 2, 2026
- Related adviser · false to trueFeb 3, 2025 to Mar 2, 2026
- Accounts · 594 to 632Jan 24, 2024 to Feb 3, 2025
- HNW clients · 68 to 101Jan 24, 2024 to Feb 3, 2025
- Individual clients · 286 to 252Jan 24, 2024 to Feb 3, 2025
- Financial planning clients · 26-50 to 11-25Jan 24, 2024 to Feb 3, 2025
- Discretionary RAUM · $127M to $158MJan 24, 2024 to Feb 3, 2025
- HNW RAUM · $87.3M to $120MJan 24, 2024 to Feb 3, 2025
- Individual RAUM · $46.5M to $50.1MJan 24, 2024 to Feb 3, 2025
- Non-discretionary RAUM · $6.7M to $12.3MJan 24, 2024 to Feb 3, 2025
- RAUM · $134M to $170MJan 24, 2024 to Feb 3, 2025
- Accounts · 510 to 594Feb 1, 2023 to Jan 24, 2024
- Advisory employees · 2 to 1Feb 1, 2023 to Jan 24, 2024
- HNW clients · 60 to 68Feb 1, 2023 to Jan 24, 2024
- Individual clients · 264 to 286Feb 1, 2023 to Jan 24, 2024
- Employees · 2 to 1Feb 1, 2023 to Jan 24, 2024
- State-registered IARs · 2 to 1Feb 1, 2023 to Jan 24, 2024
- Discretionary RAUM · $109M to $127MFeb 1, 2023 to Jan 24, 2024
- HNW RAUM · $35.5M to $87.3MFeb 1, 2023 to Jan 24, 2024
- Individual RAUM · $78.2M to $46.5MFeb 1, 2023 to Jan 24, 2024
- Non-discretionary RAUM · $4.8M to $6.7MFeb 1, 2023 to Jan 24, 2024
- RAUM · $114M to $134MFeb 1, 2023 to Jan 24, 2024
- Accounts · 465 to 510Jan 4, 2022 to Feb 1, 2023
- HNW clients · 76 to 60Jan 4, 2022 to Feb 1, 2023
- Individual clients · 172 to 264Jan 4, 2022 to Feb 1, 2023
- Discretionary RAUM · $117M to $109MJan 4, 2022 to Feb 1, 2023
- HNW RAUM · $86.3M to $35.5MJan 4, 2022 to Feb 1, 2023
- Individual RAUM · $42.2M to $78.2MJan 4, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $11.9M to $4.8MJan 4, 2022 to Feb 1, 2023
- RAUM · $129M to $114MJan 4, 2022 to Feb 1, 2023
- Accounts · 416 to 465Feb 17, 2021 to Jan 4, 2022
- HNW clients · 70 to 76Feb 17, 2021 to Jan 4, 2022
- Individual clients · 165 to 172Feb 17, 2021 to Jan 4, 2022
Signals
2 dated events
- N••••• K••••••• S••••• left A••••• • P••••••• S••••••• L•• for C••• L•• (registered 2025-06-02)Mar 17, 2025 · Advisor changed firm · fact
- A••••• • P••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Dec 22, 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
- Business phone
- 724-635-0427reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A•••••ANDP•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 724-635-0427reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $93.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026