DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•••• I••••••••• P•••••••• I•••
Latest filing Jul 28, 2026
First filing on the tape Dec 23, 2020 · 10 filings
SEC status approved since Jan 21, 2021
RAUM
$566M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$283M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$566M as of Jul 28, 2026
Feb 9, 2021$114M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 28, 2026
Feb 9, 20212 then
Employees (5.A)3 as of Jul 28, 2026
Feb 9, 20212 then
Private funds1 as of Jul 28, 2026
Feb 9, 20211 then
RAUM -9.4% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
- RAUM per advisor
- $283MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $113MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -9.4%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $254M, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$254M54%
- Corporations and businesses$213M46%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $254M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.45 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 |
|---|---|---|---|---|
| J••• K•••• S••••••••Chartered Financial Analyst | West Conshohocken, Pa | Mar 7, 2017 | 32 y | 0 |
| J•••• B••••••• B•••Chartered Financial Analyst | West Conshohocken, Pa | Apr 18, 2017 | 11 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• R•••• S•••• C•• F•••••••• F•••• L••• | Hedge Fund | $189M | 29 | Feb 17, 2015 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• S•••••• M•••••• · Chief Operating Officercontrolsince 02/2023 · owns less than 5%
- E••••• J••• E••••• · Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- S••••••••• J•••• K•••• · President And Ciocontrolsince 07/2005 · owns 75% or more
- B•••• J••••• B••••••• · Senior Research Analystsince 03/2015 · owns less than 5%
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 |
|---|---|---|---|---|---|
| West Conshohocken, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Sep 19, 2025 to Mar 20, 2026
- Corporate clients · 3.0 to unsetSep 19, 2025 to Mar 20, 2026
- Assets in custody · $234M to $254MSep 19, 2025 to Mar 20, 2026
- Discretionary RAUM · $625M to $566MSep 19, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $268M to $254MSep 19, 2025 to Mar 20, 2026
- RAUM · $625M to $566MSep 19, 2025 to Mar 20, 2026
- Accounts · 5 to 6Mar 8, 2024 to Mar 19, 2025
- Pooled vehicle clients · 1 to 2Mar 8, 2024 to Mar 19, 2025
- Assets in custody · $189M to $234MMar 8, 2024 to Mar 19, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 19, 2025
- Discretionary RAUM · $552M to $625MMar 8, 2024 to Mar 19, 2025
- Pooled vehicle RAUM · $189M to $268MMar 8, 2024 to Mar 19, 2025
- RAUM · $552M to $625MMar 8, 2024 to Mar 19, 2025
- Corporate clients · unset to 3.0Mar 15, 2023 to Mar 8, 2024
- Pooled vehicle clients · 4 to 1Mar 15, 2023 to Mar 8, 2024
- Assets in custody · $137M to $189MMar 15, 2023 to Mar 8, 2024
- Discretionary RAUM · $399M to $552MMar 15, 2023 to Mar 8, 2024
- Pooled vehicle RAUM · $294M to $189MMar 15, 2023 to Mar 8, 2024
- RAUM · $399M to $552MMar 15, 2023 to Mar 8, 2024
- Accounts · 3 to 5Sep 30, 2022 to Mar 15, 2023
- Pooled vehicle clients · 1 to 4Sep 30, 2022 to Mar 15, 2023
- Assets in custody · $30.0M to $137MSep 30, 2022 to Mar 15, 2023
- Employees · 2 to 3Sep 30, 2022 to Mar 15, 2023
- Discretionary RAUM · $227M to $399MSep 30, 2022 to Mar 15, 2023
- Pooled vehicle RAUM · $30.0M to $294MSep 30, 2022 to Mar 15, 2023
- RAUM · $227M to $399MSep 30, 2022 to Mar 15, 2023
- Assets in custody · $12.8M to $30.0MFeb 9, 2021 to Feb 7, 2022
- Discretionary RAUM · $114M to $227MFeb 9, 2021 to Feb 7, 2022
- Pooled vehicle RAUM · $13.1M to $30.0MFeb 9, 2021 to Feb 7, 2022
- RAUM · $114M to $227MFeb 9, 2021 to Feb 7, 2022
- Pooled vehicle clients · 2 to 1Dec 23, 2020 to Feb 9, 2021
- Discretionary RAUM · $114M to $114MDec 23, 2020 to Feb 9, 2021
- Pooled vehicle RAUM · $43.1M to $13.1MDec 23, 2020 to Feb 9, 2021
- RAUM · $114M to $114MDec 23, 2020 to Feb 9, 2021
Signals
5 dated events
- R•••• I••••••••• P•••••••• I••• reported RAUM $552.4M, up 38% from $398.9M (2023-03-15 to 2024-03-08)Mar 8, 2024 · RAUM change · derived
- M•••••• S••••• D•••••• (Chief Operating Officer) appeared on Schedule A of R•••• I••••••••• P•••••••• I•••Mar 8, 2024 · Control person joined · fact
- R•••• I••••••••• P•••••••• I••• reported RAUM $398.9M, up 76% from $227.0M (2022-09-30 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- R•••• I••••••••• P•••••••• I••• reported RAUM $227.0M, up 99% from $113.8M (2021-02-09 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- R•••• I••••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Dec 23, 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
- R••••IP.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (610) 234-2203reportedpublic record, Form ADV, Jul 28, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $283Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026