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
M•••••• C•••••• M•••••••••
Legal name M•••••• C•••••• M••••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Aug 1, 2024 · 5 filings
SEC status approved since Aug 30, 2024
RAUM
$258M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$217M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$64.5M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$258M as of Feb 19, 2026
Feb 6, 2025$225M then
HNW client RAUM$192M as of Feb 19, 2026
Feb 6, 2025$171M then
State-registered IARs (5.B.3)4 as of Feb 19, 2026
Feb 6, 20254 then
Employees (5.A)5 as of Feb 19, 2026
Feb 6, 20255 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Feb 19, 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
- $64.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $725,054derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $18.6M, 23 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$192M74%
- Pension and profit-sharing plans$29.7M12%
- Individuals$24.8M9.6%
- Charitable organizations$8.9M3.4%
- Corporations and businesses$3.0M1.1%
- Individual clients
- 64reported
- HNW clients
- 62reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 356reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.6M for 23 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.15 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 |
|---|---|---|---|---|
| M•••••• P••• C••••• | M••••••, Pa | Mar 5, 2018 | 39 y | 1 |
| J•••• L••••••• O••••Certified Financial Planner, Chartered Financial Analyst | M••••••, Pa | Apr 2, 2018 | 33 y | 5 |
| L•••• J••••• I•••••••• | M••••••, Pa | Aug 23, 2019 | 28 y | 2 |
| J••• W•••••• E••••• | M••••••, Pa | Aug 6, 2024 | 46 y | 5 |
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
- J••• W•••••• E••••• from L•• F•••••••• L••Aug 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- L•••• J••••• I•••••••• from S••••• C•••••• M••••••••• I••Aug 23, 2019 · RIA to RIA
- J•••• L••••••• O•••• from O•••••••• R••••••••• A•••••••• I•••Apr 2, 2018 · RIA to RIA
- M•••••• P••• C••••• from S••••• C•••••• M••••••••• I••Mar 5, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• P••• · Chief Executive Officer, Chief Compliance Officer & Managing Membercontrolsince 03/2019 · owns 50% to 75%
- O••••• J••••• L••••••• · Member, President & Chief Investment Officercontrolsince 04/2018 · 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 |
|---|---|---|---|---|---|
| M••••••, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 350 to 356Feb 6, 2025 to Feb 19, 2026
- Advisory activities · 6 to 5Feb 6, 2025 to Feb 19, 2026
- Corporate clients · 0 to 1Feb 6, 2025 to Feb 19, 2026
- Individual clients · 63 to 64Feb 6, 2025 to Feb 19, 2026
- Pension plan clients · 2 to 3Feb 6, 2025 to Feb 19, 2026
- Assets in custody · $10.4M to $18.6MFeb 6, 2025 to Feb 19, 2026
- Discretionary RAUM · $225M to $258MFeb 6, 2025 to Feb 19, 2026
- HNW RAUM · $171M to $192MFeb 6, 2025 to Feb 19, 2026
- Individual RAUM · $22.5M to $24.8MFeb 6, 2025 to Feb 19, 2026
- Pension RAUM · $24.1M to $29.7MFeb 6, 2025 to Feb 19, 2026
- RAUM · $225M to $258MFeb 6, 2025 to Feb 19, 2026
- Accounts · 359 to 350Sep 11, 2024 to Feb 6, 2025
- Charity clients · 2 to 3Sep 11, 2024 to Feb 6, 2025
- HNW clients · 64 to 62Sep 11, 2024 to Feb 6, 2025
- Individual clients · 64 to 63Sep 11, 2024 to Feb 6, 2025
- Assets in custody · $12.6M to $10.4MSep 11, 2024 to Feb 6, 2025
- Employees · 4 to 5Sep 11, 2024 to Feb 6, 2025
- Financial planning clients · 1-10 to 1-10Sep 11, 2024 to Feb 6, 2025
- Discretionary RAUM · $223M to $225MSep 11, 2024 to Feb 6, 2025
- HNW RAUM · $164M to $171MSep 11, 2024 to Feb 6, 2025
- Individual RAUM · $27.9M to $22.5MSep 11, 2024 to Feb 6, 2025
- Pension RAUM · $24.1M to $24.1MSep 11, 2024 to Feb 6, 2025
- RAUM · $223M to $225MSep 11, 2024 to Feb 6, 2025
- Advisory employees · 3 to 4Aug 1, 2024 to Aug 6, 2024
- Employees · 3 to 4Aug 1, 2024 to Aug 6, 2024
- State-registered IARs · 3 to 4Aug 1, 2024 to Aug 6, 2024
Signals
1 dated events
- M•••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 1, 2024 · 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
- 610-889-9726reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 610-979-1462reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/malvern-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- malvernwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-979-1462reportedpublic record, Form ADV, Feb 19, 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
- $64.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026