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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Former SEC-registered adviser
D••• A•• D••• W••••• M••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Sep 2, 2026 · 1 filings
RAUM
$102M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
94%
$95.8M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
- RAUM per advisor
- $33.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $193,812derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$50.0M49%
- High-net-worth individuals$45.8M45%
- Pension and profit-sharing plans$5.8M5.7%
- Individual clients
- 213reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 524reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• A••••• L••••••• | Doylestown, Pa | Jun 26, 2019 | 12 y | 3 |
| J•••• S••• D••••••••Certified Financial Planner | Doylestown, Pa | Sep 27, 2024 | 11 y | 3 |
| R••• T••••• K••••Certified Financial Planner | Doylestown, Pa | Jul 16, 2026 | 13 y | 5 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days1 joined in 90 days1 left over 36 months
Left, latest
- D•••• M••••••• to L•• F•••••••• L••Jul 1, 2026 · Other
Joined, latest
- R••• T••••• K•••• from T••••• W••••• M••••••••• L••Jul 16, 2026 · RIA to a state-registered adviser
- D•••• M••••••• from S•••••••• A••••••• L••Jul 28, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- J•••• S••• D•••••••• from V••••••• A•••••••• I•••Sep 27, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- P•••••• A••••• L••••••• from G•••• V••••• A•••••• G••••• L••Jun 26, 2019 · RIA to a state-registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Doylestown, Pa · principal | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- D•••• M••••••• left D••• A•• D••• W••••• M••••••••• L•• for L•• F•••••••• L•• (registered 2026-07-21)Jul 1, 2026 · a•••••• firm change · 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
- Principal office phone
- 267-544-0333reportedpublic record, Form ADV, Sep 2, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026