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•• F••••••••• L••

No RAUM reportedBala Cynwyd, PennsylvaniaCRD 285183SEC 801-128902IAPD
Latest filing Mar 11, 2026
First filing on the tape Sep 15, 2023 · 12 filings
SEC status approved since Nov 14, 2023
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
15
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
65
63 advisory (5.B.1)
Offices
30
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$0 as of Mar 11, 2026
Feb 3, 2025$0 then
HNW client RAUM$0 as of Mar 11, 2026
Mar 25, 2024$0 then
State-registered IARs (5.B.3)11 as of Mar 11, 2026
Mar 25, 20249 then
Employees (5.A)65 as of Mar 11, 2026
Mar 25, 202436 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 8 to 11
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
0derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.3derivedItem 5.A over advisors
Advisors per office
0.5derived31 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+38%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
otherreportedItem 5.E
Advisory activities
selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
7reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
K•••• S••••• M••••••Bala Cynwyd, Pa Sep 26, 202216 y0
C••• W•••• R•••Bala Cynwyd, PaApr 15, 202421 y2
T•••••• P•••••• C•••••••Bala Cynwyd, PaMay 3, 202446 y0
J•••••••• M•••• J••••••Bala Cynwyd, PaAug 21, 202417 y0
H••••• B•••••••• E••••Bala Cynwyd, PaMar 13, 202512 y0
M••••••• J•••••••• G•••••Personal Financial SpecialistBala Cynwyd, PaJul 28, 202511 y0
D••••• J••••• P•••••Bala Cynwyd, PaDec 1, 202512 y0
R•••••• A•••••• M•••••Bala Cynwyd, PaJan 5, 202611 y0
R•••• L• K•••Bala Cynwyd, PaJan 14, 202631 y0
C•••• C•••••••• H••••Fort Worth, TxJan 29, 202613 y0
L•••• B• R••••Certified Financial PlannerBala Cynwyd, PaFeb 20, 202613 y0
S••• A••••• K•••••Bala Cynwyd, PaMar 5, 202625 y2
R•••••• E•••••• V•••••••••Bala Cynwyd, PaApr 27, 202614 y0
H••••• K••• J••••••Bala Cynwyd, PaMay 20, 202610 y0
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.7% of current headcount4 left over 36 months
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • M••••••• K••••• S••••• · Managing Member And Chief Compliance Officercontrol
    since 01/2023 · owns 50% to 75%
  • W•••••• G••••••• H••••••• · Managing Membercontrol
    since 01/2023 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Bala Cynwyd, Pa · principal1471
Offices
Schedule D 1.F, the 25 largest
  • Blacksburg, VA3 employees
  • El Paso, TX2 employees
  • Bedford, TX1 employees
  • Blue Bell, PA1 employees
  • Boca Raton, FL1 employees
  • Concord, NH1 employees
  • El Paso, TX1 employees
  • Frisco, TX1 employees
  • Harrison Township, NJ1 employees
  • Houston, TX1 employees
  • Johnstown, PA1 employees
  • King Of Prussia, PA1 employees
  • Las Vegas, NV1 employees
  • Levittown, NY1 employees
  • Minnetonka, MN1 employees
  • Norwood, MA1 employees
  • Oakland, CA1 employees
  • Palo Alto, CA1 employees
  • Raleigh, NC1 employees
  • Sacramento, CA1 employees
  • San Ramon, CA1 employees
  • San Ramon, CA1 employees
  • Shelton, CT1 employees
  • Studio City, CA1 employees
  • Wake Forest, NC1 employees
What changed
consecutive filings, newest first
  • Advisory employees · 61 to 63
    Dec 23, 2025 to Mar 11, 2026
  • Individual clients · 11 to 7
    Dec 23, 2025 to Mar 11, 2026
  • Employees · 63 to 65
    Dec 23, 2025 to Mar 11, 2026
  • State-registered IARs · 13 to 11
    Dec 23, 2025 to Mar 11, 2026
  • Advisory employees · 50 to 61
    Aug 19, 2025 to Dec 23, 2025
  • Employees · 52 to 63
    Aug 19, 2025 to Dec 23, 2025
  • State-registered IARs · 10 to 13
    Aug 19, 2025 to Dec 23, 2025
  • Advisory employees · 47 to 50
    Jun 6, 2025 to Aug 19, 2025
  • Individual clients · 18 to 11
    Jun 6, 2025 to Aug 19, 2025
  • Employees · 49 to 52
    Jun 6, 2025 to Aug 19, 2025
  • Advisory employees · 44 to 47
    Feb 3, 2025 to Jun 6, 2025
  • Individual clients · 6 to 18
    Feb 3, 2025 to Jun 6, 2025
  • Employees · 46 to 49
    Feb 3, 2025 to Jun 6, 2025
  • Financial planning clients · unset to
    Feb 3, 2025 to Jun 6, 2025
  • State-registered IARs · 8 to 10
    Feb 3, 2025 to Jun 6, 2025
  • Accounts · unset to 0.0
    Mar 25, 2024 to Feb 3, 2025
  • Advisory employees · 34 to 44
    Mar 25, 2024 to Feb 3, 2025
  • Employees · 36 to 46
    Mar 25, 2024 to Feb 3, 2025
  • State-registered IARs · 9 to 8
    Mar 25, 2024 to Feb 3, 2025
  • Discretionary RAUM · unset to 0.0
    Mar 25, 2024 to Feb 3, 2025
  • Non-discretionary RAUM · unset to 0.0
    Mar 25, 2024 to Feb 3, 2025
  • RAUM · unset to 0.0
    Mar 25, 2024 to Feb 3, 2025
  • Individual clients · 0 to 6
    Dec 20, 2023 to Mar 25, 2024
  • Employees · 35 to 36
    Dec 20, 2023 to Mar 25, 2024
  • State-registered IARs · 0 to 9
    Dec 20, 2023 to Mar 25, 2024
  • Advisory employees · 0 to 34
    Nov 8, 2023 to Nov 9, 2023
  • Employees · 34 to 35
    Nov 8, 2023 to Nov 9, 2023
  • Other offices · 0 to 30
    Sep 15, 2023 to Oct 31, 2023
Signals
6 dated events
  • F••••••• A•••••• V••••••••• left A•• F••••••••• L•• for M•••• W••••• M••••••••• (registered 2025-03-28)
    Apr 16, 2026 · Advisor changed firm · fact
  • J••••••• L••• A••••••• left A•• F••••••••• L•• for E•••••••• A•••••••• L•• (registered 2025-08-14)
    Aug 18, 2025 · Advisor changed firm · fact
  • A•••• D••••• H••••• left A•• F••••••••• L•• for A••••••• A••••••• S•••••••• L•• (registered 2026-08-11)
    Sep 27, 2024 · Advisor changed firm · fact
  • J•••• R••••• P••••• left A•• F••••••••• L•• for B•••• H••• P•••••• A••••••• (registered 2024-01-10)
    Dec 14, 2023 · Advisor changed firm · fact
  • A•• F••••••••• L•• reported 30 offices beyond its principal office, up from 0 (2023-09-15 to 2023-10-31)
    Oct 31, 2023 · Office count change · derived
  • A•• F••••••••• L•• filed its initial SEC registration (Form ADV)
    Sep 15, 2023 · 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
Principal office phone
610-660-4283reportedpublic record, Form ADV, Mar 11, 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
No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026