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
B••••••••• A••••••• L••
Latest filing Mar 11, 2026
First filing on the tape May 25, 2016 · 33 filings
SEC status approved since Sep 26, 2019
RAUM
$506M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$502M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$506M as of Mar 11, 2026
Mar 20, 2020$125M then
HNW client RAUM$411M as of Mar 11, 2026
Mar 20, 2020$65.0M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Mar 20, 20203 then
Employees (5.A)8 as of Mar 11, 2026
Mar 20, 20205 then
Private funds: no history
RAUM +14% over the last fiscal year+18% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 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
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $395,485derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $36,000, 1 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$411M81%
- Individuals$91.1M18%
- Pension and profit-sharing plans$3.7M0.7%
- Individual clients
- 314reported
- HNW clients
- 168reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,280reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36,000 for 1 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• K••••••••• P••••Certified Financial Planner, Chartered Financial Analyst | East Norriton, Pa | Jun 21, 2016 | 21 y | 1 |
| D•••• R•••• R••••••••Certified Financial Planner | East Norriton, Pa | Jun 22, 2016 | 36 y | 1 |
| J•••• D••• H•••••••••Chartered Financial Analyst | East Norriton, Pa | Jul 31, 2018 | 20 y | 6 |
| X••• W••• | East Norriton, Pa | Dec 3, 2020 | 15 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
- M•••••• P•••••• W•••• to B••• B••• P•••••• W••••• M••••••••• L••Jun 8, 2021 · RIA to RIA
- M•••••• P•••••• W•••• to Y••• P••••••• P•••••• L••Aug 28, 2019 · Other
Joined, latest
- M•••••• P•••••• W•••• from Y••• P••••••• P•••••• L••Oct 20, 2020 · Other
- J•••• D••• H••••••••• from S•••• W••••• M••••••••• L••Jul 31, 2018 · Other
- D•••• R•••• R•••••••• from A••••••••• F•••••••• S•••••••• L••Jun 22, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• P•••••• W•••• from A••••••••• F•••••••• S•••••••• L••Jun 22, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• K••••••••• P•••• from A••••••••• F•••••••• S•••••••• L••Jun 21, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Jun 21, 2016 · East Norriton, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• S•••••• K••••••••• · Member, President, Ceo And Chief Compliance Officercontrolsince 06/2016 · 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 |
|---|---|---|---|---|---|
| East Norriton, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newark, DE2 employees
- Yardley, PA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,219 to 1,280Nov 18, 2025 to Feb 25, 2026
- HNW clients · 139 to 168Nov 18, 2025 to Feb 25, 2026
- Individual clients · 324 to 314Nov 18, 2025 to Feb 25, 2026
- Assets in custody · $4.0M to $36,000Nov 18, 2025 to Feb 25, 2026
- Financial planning clients · 0 to 1-10Nov 18, 2025 to Feb 25, 2026
- Discretionary RAUM · $443M to $504MNov 18, 2025 to Feb 25, 2026
- HNW RAUM · $340M to $411MNov 18, 2025 to Feb 25, 2026
- Individual RAUM · $100M to $91.1MNov 18, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $2.0M to $2.3MNov 18, 2025 to Feb 25, 2026
- Pension RAUM · $4.2M to $3.7MNov 18, 2025 to Feb 25, 2026
- RAUM · $445M to $506MNov 18, 2025 to Feb 25, 2026
- Financial planning clients · 0 to 0Mar 5, 2025 to Nov 18, 2025
- Accounts · 1,151 to 1,219Jan 14, 2025 to Mar 5, 2025
- HNW clients · 140 to 139Jan 14, 2025 to Mar 5, 2025
- Individual clients · 292 to 324Jan 14, 2025 to Mar 5, 2025
- Assets in custody · $27.4M to $4.0MJan 14, 2025 to Mar 5, 2025
- Financial planning clients · 1-10 to 0Jan 14, 2025 to Mar 5, 2025
- Discretionary RAUM · $371M to $443MJan 14, 2025 to Mar 5, 2025
- HNW RAUM · $309M to $340MJan 14, 2025 to Mar 5, 2025
- Individual RAUM · $61.3M to $100MJan 14, 2025 to Mar 5, 2025
- Non-discretionary RAUM · $0 to $2.0MJan 14, 2025 to Mar 5, 2025
- Pension RAUM · unset to 4163487.0Jan 14, 2025 to Mar 5, 2025
- RAUM · $371M to $445MJan 14, 2025 to Mar 5, 2025
- Accounts · 1,129 to 1,151Nov 21, 2023 to Jan 31, 2024
- Advisory employees · 5 to 4Nov 21, 2023 to Jan 31, 2024
- BD registered reps · 2 to 1Nov 21, 2023 to Jan 31, 2024
- HNW clients · 95 to 140Nov 21, 2023 to Jan 31, 2024
- Individual clients · 336 to 292Nov 21, 2023 to Jan 31, 2024
- Assets in custody · $18.8M to $27.4MNov 21, 2023 to Jan 31, 2024
- Employees · 9 to 8Nov 21, 2023 to Jan 31, 2024
- State-registered IARs · 5 to 4Nov 21, 2023 to Jan 31, 2024
- Other offices · 4 to 3Nov 21, 2023 to Jan 31, 2024
- Discretionary RAUM · $304M to $371MNov 21, 2023 to Jan 31, 2024
- HNW RAUM · $213M to $309MNov 21, 2023 to Jan 31, 2024
- Individual RAUM · $91.8M to $61.3MNov 21, 2023 to Jan 31, 2024
- RAUM · $304M to $371MNov 21, 2023 to Jan 31, 2024
- Accounts · 1,343 to 1,129Sep 8, 2022 to Jan 26, 2023
- HNW clients · 135 to 95Sep 8, 2022 to Jan 26, 2023
- Individual clients · 450 to 336Sep 8, 2022 to Jan 26, 2023
- Assets in custody · $23.0M to $18.8MSep 8, 2022 to Jan 26, 2023
Signals
2 dated events
- Bluesphere Advisors Llc reported RAUM $315.7M, up 153% from $125.0M (2020-10-14 to 2021-03-06)Mar 6, 2021 · RAUM change · derived
- Bluesphere Advisors Llc filed its initial SEC registration (Form ADV)May 25, 2016 · 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
- 302-250-4740reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-277-1515reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- BLUESPHEREADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (610) 277-1515reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- bluesphereadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bluesphereadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026