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
A•• I••••••••• M••••••••• L••
Latest filing Mar 6, 2025
First filing on the tape Sep 21, 2020 · 10 filings
SEC status approved since Oct 22, 2020
RAUM
$235M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$235M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$235M as of Mar 6, 2025
Mar 24, 2021$117M then
HNW client RAUM$72.4M as of Mar 6, 2025
Mar 24, 2021$34.9M then
State-registered IARs (5.B.3)2 as of Mar 6, 2025
Mar 24, 20212 then
Employees (5.A)9 as of Mar 6, 2025
Mar 24, 20215 then
Private funds: no history
RAUM +29% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 6, 2025; every figure names its basis
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 310derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $117,881derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Financial planning clients
- 525reportedItem 5.H
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$162M69%
- High-net-worth individuals$72.4M31%
- Individual clients
- 559reported
- HNW clients
- 60reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,992reported
- Financial planning clients
- 525reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- E•••• J•••• L••• to C• P•••••• W•••••Mar 20, 2026 · RIA to RIA
- C••• D•••• K•••••• to C• P•••••• W•••••Mar 20, 2026 · RIA to RIA
Joined, latest
- E•••• J•••• L••• from G•••• A•••••••• I••••••••• M••••••••• I•••Apr 24, 2018 · RIA to RIA
- C••• D•••• K•••••• from G•••• A•••••••• I••••••••• M••••••••• I•••Apr 18, 2018 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C• P•••••• W•••••Mar 20, 2026 · Renfrew, Pa
- 2 joined from G•••• A•••••••• I••••••••• M••••••••• I•••Oct 3, 2018 · Seven Fields, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• C•••• D•••• · Managing Member, Chief Compliance Officer And Investment Adviser Representativecontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
- A••••••• S•••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Renfrew, Pa · principal | 0 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,778 to 1,992Mar 20, 2024 to Mar 6, 2025
- HNW clients · 48 to 60Mar 20, 2024 to Mar 6, 2025
- Individual clients · 515 to 559Mar 20, 2024 to Mar 6, 2025
- Financial planning clients · 251-500 to More than 500Mar 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $183M to $235MMar 20, 2024 to Mar 6, 2025
- HNW RAUM · $55.0M to $72.4MMar 20, 2024 to Mar 6, 2025
- Individual RAUM · $128M to $162MMar 20, 2024 to Mar 6, 2025
- RAUM · $183M to $235MMar 20, 2024 to Mar 6, 2025
- Accounts · 1,615 to 1,778Oct 16, 2023 to Mar 20, 2024
- HNW clients · 43 to 48Oct 16, 2023 to Mar 20, 2024
- Individual clients · 458 to 515Oct 16, 2023 to Mar 20, 2024
- Employees · 8 to 9Oct 16, 2023 to Mar 20, 2024
- Discretionary RAUM · $149M to $183MOct 16, 2023 to Mar 20, 2024
- HNW RAUM · $38.5M to $55.0MOct 16, 2023 to Mar 20, 2024
- Individual RAUM · $110M to $128MOct 16, 2023 to Mar 20, 2024
- RAUM · $149M to $183MOct 16, 2023 to Mar 20, 2024
- Accounts · 1,499 to 1,615Sep 9, 2022 to Mar 23, 2023
- HNW clients · 49 to 43Sep 9, 2022 to Mar 23, 2023
- Individual clients · 406 to 458Sep 9, 2022 to Mar 23, 2023
- Employees · 6 to 8Sep 9, 2022 to Mar 23, 2023
- Discretionary RAUM · $164M to $149MSep 9, 2022 to Mar 23, 2023
- HNW RAUM · $55.5M to $38.5MSep 9, 2022 to Mar 23, 2023
- Individual RAUM · $109M to $110MSep 9, 2022 to Mar 23, 2023
- RAUM · $164M to $149MSep 9, 2022 to Mar 23, 2023
- HQ city · BUTLER to RENFREWMar 27, 2022 to Sep 9, 2022
- Accounts · 1,294 to 1,499Mar 24, 2021 to Mar 27, 2022
- Advisory activities · 3 to 4Mar 24, 2021 to Mar 27, 2022
- HNW clients · 32 to 49Mar 24, 2021 to Mar 27, 2022
- Individual clients · 367 to 406Mar 24, 2021 to Mar 27, 2022
- Employees · 5 to 6Mar 24, 2021 to Mar 27, 2022
- Financial planning clients · 26-50 to 251-500Mar 24, 2021 to Mar 27, 2022
- Discretionary RAUM · $117M to $164MMar 24, 2021 to Mar 27, 2022
- HNW RAUM · $34.9M to $55.5MMar 24, 2021 to Mar 27, 2022
- Individual RAUM · $82.1M to $109MMar 24, 2021 to Mar 27, 2022
- RAUM · $117M to $164MMar 24, 2021 to Mar 27, 2022
- Accounts · 1,236 to 1,294Nov 20, 2020 to Mar 24, 2021
- Advisory activities · 5 to 3Nov 20, 2020 to Mar 24, 2021
- HNW clients · 26 to 32Nov 20, 2020 to Mar 24, 2021
- Individual clients · 355 to 367Nov 20, 2020 to Mar 24, 2021
- Assets in custody · 0.0 to unsetNov 20, 2020 to Mar 24, 2021
Signals
5 dated events
- A•• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $234.8M)Apr 1, 2026 · Left the SEC roster · derived
- 2 advisors left A•• I••••••••• M••••••••• L•• (Renfrew, PA) for C• P•••••• W••••• on the same dayMar 20, 2026 · Team lift-out · derived
- E•••• J•••• L••• left A•• I••••••••• M••••••••• L•• for C• P•••••• W••••• (registered 2026-03-17)Mar 20, 2026 · Advisor changed firm · fact
- C••• D•••• K•••••• left A•• I••••••••• M••••••••• L•• for C• P•••••• W••••• (registered 2026-03-17)Mar 20, 2026 · Advisor changed firm · fact
- A•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 21, 2020 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026