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•••• S••••• A•••••••• L••
Latest filing Jan 27, 2026
First filing on the tape Feb 14, 2023 · 7 filings
SEC status approved since Mar 16, 2023
RAUM
$169M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$169M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$42.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$169M as of Jan 27, 2026
Jan 11, 2024$115M then
HNW client RAUM$101M as of Jan 27, 2026
Jan 11, 2024$54.5M then
State-registered IARs (5.B.3)4 as of Jan 27, 2026
Jan 11, 20244 then
Employees (5.A)4 as of Jan 27, 2026
Jan 11, 20244 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jan 27, 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
- RAUM per advisor
- $42.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $210,458derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M60%
- Individuals$67.7M40%
- Charitable organizations$452,2550.3%
- Individual clients
- 231reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 805reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• P• M•••••••Certified Financial Planner, Chartered Financial Consultant | Lancaster, Pa | Oct 20, 2017 | 14 y | 1 |
| M••••••• L•••••• F•••••••Certified Financial Planner | Lancaster, Pa | Oct 20, 2017 | 32 y | 3 |
| B•••••• C••••••••• W••••Certified Financial Planner | Ellicott City, Md | Jan 3, 2022 | 15 y | 0 |
| R••••• J••••• R•••Chartered Financial Consultant | Lancaster, Pa | Aug 2, 2022 | 20 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
- M••••••• L•••••• F••••••• from I••••• F•••••••• C•••••••••Oct 20, 2017 · Other
- J••••• P• M••••••• from I••••• F•••••••• C•••••••••Oct 20, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••• F•••••••• C•••••••••Oct 23, 2017 · East Petersburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M•••••••• L•••••• · Chief Compliance Officercontrolsince 06/2017 · owns 50% to 75%
- M•••••••• J•••••• P• · Membercontrolsince 07/2017 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••••••• F•••••••• S•••••••• L••real estatey
- M••••••• F•••••••• S••• P•••••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lancaster, Pa | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 737 to 805Jan 29, 2025 to Jan 27, 2026
- HNW clients · 45 to 53Jan 29, 2025 to Jan 27, 2026
- Individual clients · 220 to 231Jan 29, 2025 to Jan 27, 2026
- Discretionary RAUM · $119M to $151MJan 29, 2025 to Jan 27, 2026
- HNW RAUM · $78.0M to $101MJan 29, 2025 to Jan 27, 2026
- Individual RAUM · $61.0M to $67.7MJan 29, 2025 to Jan 27, 2026
- Non-discretionary RAUM · $20.1M to $18.4MJan 29, 2025 to Jan 27, 2026
- RAUM · $139M to $169MJan 29, 2025 to Jan 27, 2026
- Accounts · 666 to 737Jul 11, 2024 to Jan 29, 2025
- HNW clients · 30 to 45Jul 11, 2024 to Jan 29, 2025
- Individual clients · 211 to 220Jul 11, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0Jul 11, 2024 to Jan 29, 2025
- HQ city · unset to Jul 11, 2024 to Jan 29, 2025
- HQ state · unset to Jul 11, 2024 to Jan 29, 2025
- Discretionary RAUM · $94.7M to $119MJul 11, 2024 to Jan 29, 2025
- HNW RAUM · $54.5M to $78.0MJul 11, 2024 to Jan 29, 2025
- Individual RAUM · $60.4M to $61.0MJul 11, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $20.7M to $20.1MJul 11, 2024 to Jan 29, 2025
- RAUM · $115M to $139MJul 11, 2024 to Jan 29, 2025
- Accounts · 637 to 666Sep 29, 2023 to Jan 11, 2024
- HNW clients · 31 to 30Sep 29, 2023 to Jan 11, 2024
- Individual clients · 198 to 211Sep 29, 2023 to Jan 11, 2024
- Discretionary RAUM · $80.1M to $94.7MSep 29, 2023 to Jan 11, 2024
- HNW RAUM · $52.5M to $54.5MSep 29, 2023 to Jan 11, 2024
- Individual RAUM · $54.4M to $60.4MSep 29, 2023 to Jan 11, 2024
- Non-discretionary RAUM · $27.1M to $20.7MSep 29, 2023 to Jan 11, 2024
- RAUM · $107M to $115MSep 29, 2023 to Jan 11, 2024
- Accounts · 601 to 637Mar 17, 2023 to Sep 29, 2023
- HNW clients · 29 to 31Mar 17, 2023 to Sep 29, 2023
- Individual clients · 188 to 198Mar 17, 2023 to Sep 29, 2023
- Discretionary RAUM · $73.9M to $80.1MMar 17, 2023 to Sep 29, 2023
- HNW RAUM · $49.1M to $52.5MMar 17, 2023 to Sep 29, 2023
- Individual RAUM · $51.4M to $54.4MMar 17, 2023 to Sep 29, 2023
- Non-discretionary RAUM · $26.9M to $27.1MMar 17, 2023 to Sep 29, 2023
- RAUM · $101M to $107MMar 17, 2023 to Sep 29, 2023
Signals
1 dated events
- C•••• S••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 14, 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
- Business phone
- 443-380-0925reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- halcyonfin.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-224-1238reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- halcyonfin.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $42.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026