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
C••••••• M••••• L••
Latest filing Feb 27, 2026
First filing on the tape May 15, 2017 · 24 filings
SEC status approved since Jun 19, 2017
RAUM
$970M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
8.3%
$80.8M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$194M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$970M as of Feb 27, 2026
Mar 2, 2018$526M then
HNW client RAUM$79.1M as of Feb 27, 2026
Mar 22, 2019$17.2M then
State-registered IARs (5.B.3)5 as of Feb 27, 2026
Mar 2, 20186 then
Employees (5.A)7 as of Feb 27, 2026
Mar 2, 20186 then
Private funds: no history
RAUM +25% over the last fiscal year+49% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
- RAUM per advisor
- $194MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.9MderivedHNW RAUM over HNW clients
- Average account
- $180,512derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $3.3M, 2 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$876M90%
- High-net-worth individuals$79.1M8.1%
- State and municipal entities$13.1M1.4%
- Individuals$1.7M0.2%
- Individual clients
- 4reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5,375reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $876M managedreported
- Custody of client assets
- $3.3M for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.08 fund_share=0.9 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• J•••••• G••••• | New Castle, Pa | Jun 30, 2017 | 19 y | 3 |
| C•••• E••••• C••••••• | New Castle, Pa | Jun 30, 2017 | 32 y | 6 |
| B•••• D•••• W••••• | New Castle, Pa | Jun 30, 2017 | 25 y | 5 |
| S•••••• T••••• C•••• | New Castle, Pa | Feb 9, 2023 | 27 y | 1 |
| O••• J•••• H•••• | Doylestown, Pa | Aug 5, 2025 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- S•••• T•••••• D••••• to U• A•••• M••••••••• L••Oct 2, 2025 · Other
- G••••••• J••••• D••••• to D••••• C•••••• M•••••••••Jul 13, 2020 · Other
- R•••••• C•••••• M•••••••• to R••••••• S•••••••• T••••••••• L••Apr 6, 2020 · Other
- K•••• S• D••• to I••••••• C•••••• M••••••••• L••Oct 8, 2018 · Other
Joined, latest
- S•••••• T••••• C•••• from 1••• A•••••••Feb 9, 2023 · RIA to RIA
- S•••• T•••••• D••••• from P••••••••• A••••••• S••••••• L••Aug 2, 2019 · Other
- K•••• S• D••• from F•••• A••••• A••••••• S•••••••• I•••May 16, 2018 · Other
- G••••••• J••••• D••••• from I••••••• C•••••• M••••••••• L••Dec 13, 2017 · Other
- R•••••• C•••••• M•••••••• from A•• C•••••• M•••••••••Aug 8, 2017 · Other
- C•••• E••••• C••••••• from C••••• I••••••••• M••••••••• L••Jun 30, 2017 · Other
- L•• J•••••• G••••• from C••••• I••••••••• M••••••••• L••Jun 30, 2017 · Other
- B•••• D•••• W••••• from C••••• I••••••••• M••••••••• L••Jun 30, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• I••••••••• M••••••••• L••Jul 7, 2017 · S••••Sdale, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• C••••• E••••• · Ceocontrolsince 10/2016 · owns less than 5%
- G•••••• L••• J•••••• · President/Chief Compliance Officercontrolsince 10/2016 · owns less than 5%
- C•••••••• C••••• E••••• · Managing Membercontrolsince 03/2021 · owns 75% or more of C••••••• M•••• H••••••• I••
Entity owners
- C••••••• M•••• H••••••• I•• · Holding Company Of C••••••• M••••• L••direct · 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 |
|---|---|---|---|---|---|
| New Castle, Pa | 5 | 0 | 0 | ||
| Doylestown, Pa | 2 | 0 | 0 | ||
| S••••Sdale, Az | 2 | 0 | 0 | ||
| Hilton Head, Sc | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 4,516 to 5,375Feb 28, 2025 to Feb 27, 2026
- Assets in custody · $8.0M to $3.3MFeb 28, 2025 to Feb 27, 2026
- Discretionary RAUM · $777M to $970MFeb 28, 2025 to Feb 27, 2026
- HNW RAUM · $64.7M to $79.1MFeb 28, 2025 to Feb 27, 2026
- Individual RAUM · $1.7M to $1.7MFeb 28, 2025 to Feb 27, 2026
- RAUM · $777M to $970MFeb 28, 2025 to Feb 27, 2026
- Wrap assets (manager) · $685M to $876MFeb 28, 2025 to Feb 27, 2026
- Accounts · 832 to 4,516Oct 14, 2024 to Feb 28, 2025
- Advisory activities · 3 to 2Oct 14, 2024 to Feb 28, 2025
- Individual clients · 1 to 4Oct 14, 2024 to Feb 28, 2025
- Assets in custody · $5.8M to $8.0MOct 14, 2024 to Feb 28, 2025
- Financial planning clients · 0 to Oct 14, 2024 to Feb 28, 2025
- HQ city · unset to Oct 14, 2024 to Feb 28, 2025
- HQ state · unset to Oct 14, 2024 to Feb 28, 2025
- Discretionary RAUM · $277M to $777MOct 14, 2024 to Feb 28, 2025
- HNW RAUM · $61.1M to $64.7MOct 14, 2024 to Feb 28, 2025
- Individual RAUM · $615,122 to $1.7MOct 14, 2024 to Feb 28, 2025
- RAUM · $277M to $777MOct 14, 2024 to Feb 28, 2025
- Wrap assets (manager) · $198M to $685MOct 14, 2024 to Feb 28, 2025
- HQ city · NESHANNOCK to unsetFeb 16, 2024 to Oct 14, 2024
- HQ state · PA to unsetFeb 16, 2024 to Oct 14, 2024
- Other offices · 1 to 0Feb 16, 2024 to Oct 14, 2024
- Accounts · 947 to 832Mar 17, 2023 to Feb 16, 2024
- HNW clients · 1 to 10Mar 17, 2023 to Feb 16, 2024
- Individual clients · 5 to 1Mar 17, 2023 to Feb 16, 2024
- Assets in custody · $4.9M to $5.8MMar 17, 2023 to Feb 16, 2024
- Discretionary RAUM · $291M to $277MMar 17, 2023 to Feb 16, 2024
- HNW RAUM · $59.9M to $61.1MMar 17, 2023 to Feb 16, 2024
- Individual RAUM · $6.3M to $615,122Mar 17, 2023 to Feb 16, 2024
- RAUM · $291M to $277MMar 17, 2023 to Feb 16, 2024
- Wrap assets (manager) · $209M to $198MMar 17, 2023 to Feb 16, 2024
- Accounts · 968 to 947May 17, 2022 to Mar 17, 2023
- Advisory employees · 7 to 6May 17, 2022 to Mar 17, 2023
- Advisory activities · 2 to 3May 17, 2022 to Mar 17, 2023
- Assets in custody · $5.5M to $4.9MMay 17, 2022 to Mar 17, 2023
- Employees · 8 to 7May 17, 2022 to Mar 17, 2023
- Discretionary RAUM · $323M to $291MMay 17, 2022 to Mar 17, 2023
- HNW RAUM · $69.3M to $59.9MMay 17, 2022 to Mar 17, 2023
- Individual RAUM · $6.8M to $6.3MMay 17, 2022 to Mar 17, 2023
- RAUM · $323M to $291MMay 17, 2022 to Mar 17, 2023
Signals
6 dated events
- S•••• T•••••• D••••• left C••••••• M••••• L•• for U• A•••• M••••••••• L•• (registered 2025-09-29)Oct 2, 2025 · Advisor changed firm · fact
- C••••••• M••••• L•• reported RAUM $777.3M, up 180% from $277.3M (2024-10-14 to 2025-02-28)Feb 28, 2025 · RAUM change · derived
- Francis Harold Scattergood (Chairman/Ceo Of Boenning & Scattergood Inc) no longer on Schedule A of C••••••• M••••• L•• (listed 2022-03-21, absent 2022-05-17)May 17, 2022 · Control person left · inference
- C••••••• M••••• L•• reported RAUM $369.4M, down 28% from $515.3M (2020-06-29 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Francis Harold Scattergood (Chairman/Ceo Of Boenning & Scattergood Inc) appeared on Schedule A of C••••••• M••••• L••Mar 31, 2021 · Control person joined · fact
- C••••••• M••••• L•• filed its initial SEC registration (Form ADV)May 15, 2017 · ria f•••• adv filing · 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
- C•••••••M••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 7247612510reportedpublic record, Form ADV, Feb 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $194Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026