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
L•••••••• F•••••••• A•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Sep 16, 2016 · 52 filings
SEC status approved since Sep 28, 2016
RAUM
$563M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$550M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$33.1M
derived; firm RAUM over IAPD count
Employees
25
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$563M as of Aug 10, 2026
Mar 4, 2017$114M then
HNW client RAUM$342M as of Aug 10, 2026
Mar 19, 2018$74.0M then
State-registered IARs (5.B.3)16 as of Aug 10, 2026
Mar 4, 20173 then
Employees (5.A)25 as of Aug 10, 2026
Mar 4, 20176 then
Private funds: no history
RAUM +24% over the last fiscal year+21% a year over threeIARs 14 to 16offices 1 to 2
Practice profile
derived from the filing of Sep 14, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $33.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $207,342derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 5.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 794reportedItem 5.H
- Wrap fee program
- $470MreportedItem 5.I
- Custody
- $248M, 476 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$342M61%
- Individuals$208M37%
- Charitable organizations$8.8M1.6%
- Corporations and businesses$4.0M0.7%
- Individual clients
- 616reported
- HNW clients
- 150reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 2,715reported
- Financial planning clients
- 794reported
- Wrap fee programs
- $0 sponsored, $240,655 managedreported
- Custody of client assets
- $248M for 476 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• K••• D•••••••• | Mechanicsburg, Pa | Nov 7, 2016 | 22 y | 1 |
| D•••• I•••• L•••Certified Financial Planner | Mechanicsburg, Pa | Nov 7, 2016 | 19 y | 1 |
| D•••• G••• M•••••Certified Financial Planner | Mechanicsburg, Pa | Nov 7, 2016 | 13 y | 1 |
| M•••••• L••••••• H•••Certified Financial Planner | Mechanicsburg, Pa | Jun 29, 2017 | 13 y | 0 |
| H•••• A•• W•••••••Certified Financial Planner | Mechanicsburg, Pa | Apr 11, 2018 | 21 y | 1 |
| L••• M••••••• G••••••Certified Financial Planner, Chartered Financial Analyst | Mechanicsburg, Pa | May 18, 2020 | 10 y | 0 |
| B•••• J•• L••••Certified Financial Planner | Mechanicsburg, Pa | Sep 8, 2020 | 22 y | 3 |
| N••• A••• S••••••• | Mechanicsburg, Pa | Oct 24, 2020 | 12 y | 0 |
| R••• B••••••• A••••••Certified Financial Planner | Mechanicsburg, Pa | Sep 25, 2021 | 16 y | 0 |
| B•••• J••• W••••Certified Financial Planner | Mount Joy, Pa | Nov 13, 2021 | 16 y | 0 |
| M•••••• T••••• E••••••• G•••••Certified Financial Planner | Mechanicsburg, Pa | Jul 25, 2023 | 13 y | 0 |
| K••••••••• S••••• | Mechanicsburg, Pa | Jul 19, 2024 | 12 y | 0 |
| S•••••• B••••Certified Financial Planner | Mechanicsburg, Pa | Jul 19, 2024 | 12 y | 0 |
| J•••• P•••••• O•••••Certified Financial Planner | Mechanicsburg, Pa | Feb 6, 2025 | 11 y | 0 |
| D••••••• G••• | Mechanicsburg, Pa | Jun 10, 2025 | 11 y | 0 |
| E•••••• S• C••••• | Mechanicsburg, Pa | Jan 26, 2026 | 10 y | 0 |
| H••••• R••• G•••• | Mechanicsburg, Pa | Jul 7, 2026 | 10 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
- H•••• T••••• N••••• to I•••••••• W••••• F•••••••• P••••••• L••Sep 18, 2023 · RIA to a state-registered adviser
Joined, latest
- B•••• J•• L•••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Sep 8, 2020 · Affiliated broker-dealer or bank to independent RIA
- H•••• A•• W••••••• from A••••••••• F•••••••• S•••••••• L••Apr 11, 2018 · Affiliated broker-dealer or bank to independent RIA
- D•••••• K••• D•••••••• from C•••••••• F•••••••• G•••• A•••••••Nov 7, 2016 · Other
- D•••• G••• M••••• from C•••••••• F•••••••• G•••• A•••••••Nov 7, 2016 · Other
- D•••• I•••• L••• from C•••••••• F•••••••• G•••• A•••••••Nov 7, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••••• F•••••••• G•••• A•••••••Nov 22, 2016 · Mechanicsburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• D••••••• K••• · Managing Membercontrolsince 01/2014 · owns 50% to 75%
- H•••• M••••••• L••••••• · Managing Membercontrolsince 01/2023 · owns 5% to 10%
- L•••• D••••• I•••• · Managing Member And Chief Compliance Officercontrolsince 01/2014 · owns 25% to 50%
- M•••••• D••••• G••• · Managing Membercontrolsince 01/2022 · owns 5% to 10%
- L••••• B••••• J•• · Managing Membersince 01/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Mechanicsburg, Pa · principal | 17 | 2 | 0 | ||
| Mount Joy, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carlisle, PA
What changed
consecutive filings, newest first
- Financial planning clients · More than 500 to More than 500Aug 10, 2026 to Sep 1, 2026
- Related adviser · false to unsetAug 10, 2026 to Sep 1, 2026
- Related bank · false to unsetAug 10, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetAug 10, 2026 to Sep 1, 2026
- Related insurance company · false to unsetAug 10, 2026 to Sep 1, 2026
- Succession · false to unsetAug 10, 2026 to Sep 1, 2026
- Accounts · 2,524 to 2,715Jan 26, 2026 to Feb 25, 2026
- Advisory employees · 14 to 16Jan 26, 2026 to Feb 25, 2026
- Advisory activities · 3 to 2Jan 26, 2026 to Feb 25, 2026
- Charity clients · 10 to 12Jan 26, 2026 to Feb 25, 2026
- HNW clients · 114 to 150Jan 26, 2026 to Feb 25, 2026
- Individual clients · 612 to 616Jan 26, 2026 to Feb 25, 2026
- Assets in custody · $180M to $248MJan 26, 2026 to Feb 25, 2026
- State-registered IARs · 14 to 16Jan 26, 2026 to Feb 25, 2026
- Discretionary RAUM · $453M to $561MJan 26, 2026 to Feb 25, 2026
- HNW RAUM · $244M to $342MJan 26, 2026 to Feb 25, 2026
- Individual RAUM · $202M to $208MJan 26, 2026 to Feb 25, 2026
- Non-discretionary RAUM · $3.0M to $2.2MJan 26, 2026 to Feb 25, 2026
- Pension RAUM · 769050.0 to unsetJan 26, 2026 to Feb 25, 2026
- RAUM · $456M to $563MJan 26, 2026 to Feb 25, 2026
- Wrap assets (manager) · $239,249 to $240,655Jan 26, 2026 to Feb 25, 2026
- Financial planning clients · More than 500 to More than 500May 9, 2025 to Jun 10, 2025
- Other offices · 1 to 2Mar 12, 2025 to May 9, 2025
- Accounts · 2,271 to 2,524Feb 6, 2025 to Mar 12, 2025
- Advisory employees · 11 to 14Feb 6, 2025 to Mar 12, 2025
- Charity clients · 8 to 10Feb 6, 2025 to Mar 12, 2025
- HNW clients · 87 to 114Feb 6, 2025 to Mar 12, 2025
- Individual clients · 577 to 612Feb 6, 2025 to Mar 12, 2025
- Assets in custody · $9.6M to $180MFeb 6, 2025 to Mar 12, 2025
- Employees · 17 to 25Feb 6, 2025 to Mar 12, 2025
- State-registered IARs · 11 to 14Feb 6, 2025 to Mar 12, 2025
- Discretionary RAUM · $370M to $453MFeb 6, 2025 to Mar 12, 2025
- HNW RAUM · $194M to $244MFeb 6, 2025 to Mar 12, 2025
- Individual RAUM · $170M to $202MFeb 6, 2025 to Mar 12, 2025
- Non-discretionary RAUM · $3.0M to $3.0MFeb 6, 2025 to Mar 12, 2025
- Pension RAUM · $912,626 to $769,050Feb 6, 2025 to Mar 12, 2025
- RAUM · $373M to $456MFeb 6, 2025 to Mar 12, 2025
- Wrap assets (manager) · $372,841 to $239,249Feb 6, 2025 to Mar 12, 2025
- Accounts · 2,414 to 2,271Jan 29, 2024 to Mar 25, 2024
- Advisory activities · 4 to 3Jan 29, 2024 to Mar 25, 2024
Signals
4 dated events
- H•••• T••••• N••••• left L•••••••• F•••••••• A•••••••• L•• for I•••••••• W••••• F•••••••• P••••••• L•• (registered 2024-01-04)Sep 18, 2023 · Advisor changed firm · fact
- L••••••• M•••••• H••• (Managing Member) appeared on Schedule A of L•••••••• F•••••••• A•••••••• L••Mar 10, 2023 · Control person joined · fact
- Glen Derek Mosley (Managing Member) appeared on Schedule A of L•••••••• F•••••••• A•••••••• L••Mar 15, 2022 · Control person joined · fact
- L•••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Sep 16, 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
- Website
- Lifeplan.lifeguidefa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (717) 796-1700reportedpublic record, Form ADV, Sep 14, 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
- $33.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026