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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C•••••••• F•••••••• P•••••••
Legal name C•••••••• F•••••••• P•••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Dec 3, 2016 · 30 filings
SEC status approved since Nov 5, 2018
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$938M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$176M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Jul 28, 2026
Mar 14, 2017$0 then
HNW client RAUM$869M as of Jul 28, 2026
Mar 15, 2019$197M then
State-registered IARs (5.B.3)5 as of Jul 28, 2026
Mar 14, 20175 then
Employees (5.A)8 as of Jul 28, 2026
Mar 14, 20177 then
Private funds: no history
RAUM +24% over the last fiscal year+1.7% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jul 28, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $176MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $320MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$869M82%
- Pension and profit-sharing plans$79.2M7.5%
- Individuals$68.5M6.5%
- Charitable organizations$30.7M2.9%
- Corporations and businesses$10.3M1.0%
- Individual clients
- 278reported
- HNW clients
- 349reported
- Pension plan clients
- 23reported
- Charitable clients
- 6reported
- Accounts
- 803reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•••• F••••••••• | Radnor, Pa | Sep 25, 2017 | 37 y | 3 |
| J•••••• M••••••• F••••• | Radnor, Pa | Apr 26, 2018 | 26 y | 3 |
| A••••• W•••••• F••••• | Radnor, Pa | Apr 26, 2018 | 14 y | 1 |
| W••••••• R••• Y•••• | Radnor, Pa | Apr 27, 2018 | 27 y | 3 |
| S••••• R•••••• M••••••••• | Radnor, Pa | May 3, 2018 | 24 y | 2 |
| I•• E••••• H•••••• | Radnor, Pa | Jan 26, 2024 | 12 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
- S••••• R•••••• M••••••••• from T•• W•••••• A••••••• G••••• L••May 3, 2018 · Other
- W••••••• R••• Y•••• from L•• F•••••••• L••Apr 27, 2018 · Other
- A••••• W•••••• F••••• from T•• W•••••• A••••••• G••••• L••Apr 26, 2018 · Other
- J•••••• M••••••• F••••• from F•• S••••••••• C•••••••••Apr 26, 2018 · Other
- D•••• L•••• F••••••••• from T•• W•••••• A••••••• G••••• L••Sep 25, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• W•••••• A••••••• G••••• L••Jul 5, 2018 · Wayne, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••••• D••••• L•••• · President / Chief Compliance Officer / Membercontrolsince 12/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list C•••••••• F•••••••• P••••••• as a related person
- 120522 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Radnor, Pa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,149 to 803Mar 15, 2025 to Feb 27, 2026
- Charity clients · 7 to 6Mar 15, 2025 to Feb 27, 2026
- Corporate clients · 10 to 13Mar 15, 2025 to Feb 27, 2026
- HNW clients · 297 to 349Mar 15, 2025 to Feb 27, 2026
- Individual clients · 274 to 278Mar 15, 2025 to Feb 27, 2026
- Pension plan clients · 22 to 23Mar 15, 2025 to Feb 27, 2026
- Discretionary RAUM · $850M to $1.1BMar 15, 2025 to Feb 27, 2026
- HNW RAUM · $686M to $869MMar 15, 2025 to Feb 27, 2026
- Individual RAUM · $69.6M to $68.5MMar 15, 2025 to Feb 27, 2026
- Pension RAUM · $50.6M to $79.2MMar 15, 2025 to Feb 27, 2026
- RAUM · $850M to $1.1BMar 15, 2025 to Feb 27, 2026
- Accounts · 1,030 to 1,149Dec 9, 2024 to Mar 15, 2025
- Charity clients · 9 to 7Dec 9, 2024 to Mar 15, 2025
- Corporate clients · 11 to 10Dec 9, 2024 to Mar 15, 2025
- HNW clients · 312 to 297Dec 9, 2024 to Mar 15, 2025
- Individual clients · 255 to 274Dec 9, 2024 to Mar 15, 2025
- Pension plan clients · 23 to 22Dec 9, 2024 to Mar 15, 2025
- Financial planning clients · 1-10 to 0Dec 9, 2024 to Mar 15, 2025
- Discretionary RAUM · $1.1B to $850MDec 9, 2024 to Mar 15, 2025
- HNW RAUM · $574M to $686MDec 9, 2024 to Mar 15, 2025
- Individual RAUM · $59.8M to $69.6MDec 9, 2024 to Mar 15, 2025
- Pension RAUM · $404M to $50.6MDec 9, 2024 to Mar 15, 2025
- RAUM · $1.1B to $850MDec 9, 2024 to Mar 15, 2025
- BD registered reps · 5 to 4Mar 28, 2024 to Nov 4, 2024
- Accounts · 1,097 to 1,030Mar 28, 2023 to Mar 28, 2024
- Charity clients · 5 to 9Mar 28, 2023 to Mar 28, 2024
- Corporate clients · 28 to 11Mar 28, 2023 to Mar 28, 2024
- HNW clients · 259 to 312Mar 28, 2023 to Mar 28, 2024
- Individual clients · 236 to 255Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.0B to $1.1BMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $570M to $574MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $53.1M to $59.8MMar 28, 2023 to Mar 28, 2024
- Pension RAUM · $351M to $404MMar 28, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.1BMar 28, 2023 to Mar 28, 2024
- Accounts · 766 to 1,097Sep 1, 2022 to Mar 28, 2023
- Charity clients · 4 to 5Sep 1, 2022 to Mar 28, 2023
- Corporate clients · 11 to 28Sep 1, 2022 to Mar 28, 2023
- HNW clients · 239 to 259Sep 1, 2022 to Mar 28, 2023
- Individual clients · 222 to 236Sep 1, 2022 to Mar 28, 2023
- Pension plan clients · 19 to 23Sep 1, 2022 to Mar 28, 2023
Signals
1 dated events
- C•••••••• F•••••••• P•••••• filed its initial SEC registration (Form ADV)Dec 3, 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 email
- a••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- a••••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- i••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- k••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- m•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- r•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-293-9211reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-293-9271reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-293-9930reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (610) 293-9211reportedpublic 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $176Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026