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
R•••• R••••••••• P•••••••
Legal name R•••• W••••• M••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Jan 11, 2024 · 8 filings
SEC status approved since Feb 12, 2024
RAUM
$239M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$239M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$239M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$239M as of Feb 24, 2026
Jan 13, 2025$166M then
HNW client RAUM$179M as of Feb 24, 2026
Jan 13, 2025$121M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Jan 13, 20251 then
Employees (5.A)1 as of Feb 24, 2026
Jan 13, 20251 then
Private funds: no history
RAUM +44% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $239MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 262derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $357,492derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +44%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $239MreportedItem 5.I
- Custody
- $1.1M, 7 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
- 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)
- 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$179M75%
- Individuals$60.1M25%
- Individual clients
- 129reported
- HNW clients
- 133reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 669reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $1.1M for 7 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••• J• R••••Certified Financial Planner | Berwyn, Pa | Oct 19, 2016 | 17 y | 4 |
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
- K••• J• R•••• from A•••• W••••• A•••••••• L••Oct 19, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• K•••• J• · Principal And Chief Compliance Officercontrolsince 09/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Newton, PA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Feb 24, 2026RAUM (Item 5.F) moved from $165,573,599 to $239,161,911 (+44.0%) between the annual amendments of 2025-01-13 and 2026-02-24; the peer median change was +15.0% (4550 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 560 to 669Jan 13, 2025 to Feb 24, 2026
- HNW clients · 107 to 133Jan 13, 2025 to Feb 24, 2026
- Individual clients · 118 to 129Jan 13, 2025 to Feb 24, 2026
- Assets in custody · $51.9M to $1.1MJan 13, 2025 to Feb 24, 2026
- Discretionary RAUM · $166M to $239MJan 13, 2025 to Feb 24, 2026
- HNW RAUM · $121M to $179MJan 13, 2025 to Feb 24, 2026
- Individual RAUM · $44.5M to $60.1MJan 13, 2025 to Feb 24, 2026
- RAUM · $166M to $239MJan 13, 2025 to Feb 24, 2026
- Accounts · 472 to 560Aug 27, 2024 to Jan 13, 2025
- HNW clients · 36 to 107Aug 27, 2024 to Jan 13, 2025
- Individual clients · 170 to 118Aug 27, 2024 to Jan 13, 2025
- Assets in custody · unset to 51869761.0Aug 27, 2024 to Jan 13, 2025
- Custody of client assets · false to trueAug 27, 2024 to Jan 13, 2025
- Financial planning clients · 51-100 to 51-100Aug 27, 2024 to Jan 13, 2025
- Discretionary RAUM · $127M to $166MAug 27, 2024 to Jan 13, 2025
- HNW RAUM · $49.8M to $121MAug 27, 2024 to Jan 13, 2025
- Individual RAUM · $77.2M to $44.5MAug 27, 2024 to Jan 13, 2025
- RAUM · $127M to $166MAug 27, 2024 to Jan 13, 2025
- Assets in custody · 33274886.0 to unsetMay 15, 2024 to May 28, 2024
- Custody of client assets · true to falseMay 15, 2024 to May 28, 2024
- Other offices · 1 to 2May 15, 2024 to May 28, 2024
- Accounts · 426 to 472Apr 2, 2024 to May 15, 2024
- HNW clients · 35 to 36Apr 2, 2024 to May 15, 2024
- Individual clients · 193 to 170Apr 2, 2024 to May 15, 2024
- Discretionary RAUM · $108M to $127MApr 2, 2024 to May 15, 2024
- HNW RAUM · $40.9M to $49.8MApr 2, 2024 to May 15, 2024
- Individual RAUM · $67.2M to $77.2MApr 2, 2024 to May 15, 2024
- RAUM · $108M to $127MApr 2, 2024 to May 15, 2024
Signals
1 dated events
- R•••• R••••••••• P••••••• filed its initial SEC registration (Form ADV)Jan 11, 2024 · 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
- 267-427-5667reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- R••••RETIREMENT.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (267) 427-5667reportedpublic record, Form ADV, Feb 24, 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
- $239Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026