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••••••• W••••• A•••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Apr 21, 2017 · 23 filings
SEC status approved since Jun 6, 2017
RAUM
$601M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
82%
$492M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$100M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$601M as of Mar 6, 2026
Mar 26, 2018$155M then
HNW client RAUM$281M as of Mar 6, 2026
Mar 26, 2018$87.5M then
State-registered IARs (5.B.3)6 as of Mar 6, 2026
Mar 26, 20183 then
Employees (5.A)8 as of Mar 6, 2026
Mar 26, 20183 then
Private funds: no history
RAUM +21% over the last fiscal year+20% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 6, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $100MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $887,889derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%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
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Financial planning clients
- 500reportedItem 5.H
- Custody
- $86.5M, 129 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$281M47%
- Individuals$211M35%
- Pension and profit-sharing plans$80.8M13%
- Corporations and businesses$28.7M4.8%
- Individual clients
- 588reported
- HNW clients
- 60reported
- Pension plan clients
- 16reported
- Charitable clients
- n/areported
- Accounts
- 677reported
- Financial planning clients
- 500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $86.5M for 129 clientsreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• J••••• R•••Certified Financial Planner | Scranton, Pa | Jun 21, 2017 | 40 y | 3 |
| C••••••••• D• R•••Certified Financial Planner | Scranton, Pa | Jun 22, 2017 | 21 y | 1 |
| D•••••• F•••••• H•••••• | Scranton, Pa | Jun 22, 2017 | 40 y | 1 |
| J••• R••• M••••••••Certified Financial Planner | Scranton, Pa | Oct 13, 2019 | 21 y | 5 |
| M•••••• J••••• C•••••• | Scranton, Pa | Sep 9, 2020 | 10 y | 0 |
| S••• P•••••• D•••••• | Scranton, Pa | Mar 12, 2025 | 10 y | 1 |
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••• P•••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 12, 2025 · Wirehouse to independent RIA
- J••• R••• M•••••••• from L•• F•••••••• L••Oct 13, 2019 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• D• R••• from W•••• F•••• A•••••••Jun 22, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- D•••••• F•••••• H•••••• from W•••• F•••• A•••••••Jun 22, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- P•••• J••••• R••• from W•••• F•••• A•••••••Jun 21, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Jun 19, 2017 · Scranton, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• P••••• J••••• · Managing Membercontrolsince 06/2017 · owns 25% to 50%
- R•••• C••••••••• D• · Managing Member, Ccocontrolsince 06/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Scranton, Pa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 6, 2026custody of client assets (Item 9.A): no on the filing of 2025-11-20, yes on the filing of 2026-03-06peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 643 to 677Nov 20, 2025 to Mar 6, 2026
- Corporate clients · unset to 13.0Nov 20, 2025 to Mar 6, 2026
- HNW clients · 59 to 60Nov 20, 2025 to Mar 6, 2026
- Individual clients · 565 to 588Nov 20, 2025 to Mar 6, 2026
- Pension plan clients · 14 to 16Nov 20, 2025 to Mar 6, 2026
- Assets in custody · unset to 86514017.0Nov 20, 2025 to Mar 6, 2026
- Custody of client assets · false to trueNov 20, 2025 to Mar 6, 2026
- Discretionary RAUM · $428M to $525MNov 20, 2025 to Mar 6, 2026
- HNW RAUM · $245M to $281MNov 20, 2025 to Mar 6, 2026
- Individual RAUM · $179M to $211MNov 20, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $70.6M to $76.2MNov 20, 2025 to Mar 6, 2026
- Pension RAUM · $74.5M to $80.8MNov 20, 2025 to Mar 6, 2026
- RAUM · $498M to $601MNov 20, 2025 to Mar 6, 2026
- Accounts · 1,383 to 643Mar 19, 2024 to Mar 18, 2025
- Advisory employees · 5 to 6Mar 19, 2024 to Mar 18, 2025
- Corporate clients · 4.0 to unsetMar 19, 2024 to Mar 18, 2025
- HNW clients · 51 to 59Mar 19, 2024 to Mar 18, 2025
- Individual clients · 533 to 565Mar 19, 2024 to Mar 18, 2025
- Pension plan clients · 13 to 14Mar 19, 2024 to Mar 18, 2025
- Employees · 7 to 8Mar 19, 2024 to Mar 18, 2025
- Financial planning clients · More than 500 to More than 500Mar 19, 2024 to Mar 18, 2025
- State-registered IARs · 5 to 6Mar 19, 2024 to Mar 18, 2025
- Discretionary RAUM · $363M to $428MMar 19, 2024 to Mar 18, 2025
- HNW RAUM · $206M to $245MMar 19, 2024 to Mar 18, 2025
- Individual RAUM · $154M to $179MMar 19, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $62.0M to $70.6MMar 19, 2024 to Mar 18, 2025
- Pension RAUM · $62.0M to $74.5MMar 19, 2024 to Mar 18, 2025
- RAUM · $425M to $498MMar 19, 2024 to Mar 18, 2025
- State-registered IARs · 6 to 5Aug 21, 2023 to Mar 19, 2024
- Accounts · 1,239 to 1,383Aug 21, 2023 to Mar 19, 2024
- Advisory employees · 6 to 5Aug 21, 2023 to Mar 19, 2024
- Corporate clients · unset to 4.0Aug 21, 2023 to Mar 19, 2024
- HNW clients · 45 to 51Aug 21, 2023 to Mar 19, 2024
- Individual clients · 504 to 533Aug 21, 2023 to Mar 19, 2024
- Employees · 8 to 7Aug 21, 2023 to Mar 19, 2024
- Discretionary RAUM · $298M to $363MAug 21, 2023 to Mar 19, 2024
- HNW RAUM · $172M to $206MAug 21, 2023 to Mar 19, 2024
- Individual RAUM · $124M to $154MAug 21, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $53.7M to $62.0MAug 21, 2023 to Mar 19, 2024
- Pension RAUM · $55.6M to $62.0MAug 21, 2023 to Mar 19, 2024
Signals
1 dated events
- A••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 21, 2017 · 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
- 570-800-2137reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-800-2139reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-800-2141reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/A•••••••-WEALTH-ADVISORSreportedpublic record, Form ADV, Sep 18, 2026
- Website
- planwithalliance.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 570-961-1516reportedpublic record, Form ADV, Mar 6, 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
- $100Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026