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
Z••••••••• I••••••••• M••••••••• • P••••••• L••
Latest filing Dec 24, 2024
First filing on the tape Jun 8, 2018 · 46 filings
SEC status approved since Jul 10, 2018
RAUM
$409M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
98%
$403M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$409M as of Jan 29, 2024
Mar 4, 2019$0 then
HNW client RAUM$66.9M as of Jan 29, 2024
Mar 4, 2019$0 then
State-registered IARs (5.B.3)5 as of Jan 29, 2024
Mar 4, 20192 then
Employees (5.A)6 as of Jan 29, 2024
Mar 4, 20192 then
Private funds: no history
RAUM +34% over the last fiscal year+15% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Dec 24, 2024; every figure names its basis
- RAUM per advisor
- $81.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 236derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $177,725derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $336M, 1,000 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
- Individuals$336M82%
- High-net-worth individuals$66.9M16%
- Charitable organizations$4.4M1.1%
- Pension and profit-sharing plans$2.1M0.5%
- Corporations and businesses$103,7860.0%
- Individual clients
- 1,145reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 2,303reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $336M for 1,000 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- G••••• D• K•••••••• to M•••• F•••••••• A•••••••Jan 31, 2025 · RIA to RIA
- J•••••• S•••• N••••• to M•••• F•••••••• A•••••••Jan 31, 2025 · RIA to RIA
- K••••••• I•••• S•••• to M•••• F•••••••• A•••••••Jan 31, 2025 · RIA to RIA
- C••• H•••• Z••••••••• to M•••• F•••••••• A•••••••Jan 31, 2025 · RIA to RIA
- J••••• T• T•••••• to M•••• F•••••••• A•••••••Jan 31, 2025 · RIA to RIA
Joined, latest
- J••••• T• T•••••• from C•••• P•••• A••••••• L••Mar 26, 2020 · Other
- J•••••• S•••• N••••• from P••••••••• F•••••••• A•••••••• I•••Apr 15, 2019 · Other
- G••••• D• K•••••••• from P••••••••• F•••••••• A•••••••• I•••Apr 12, 2019 · Other
- K••••••• I•••• S•••• from P••••••••• F•••••••• A•••••••• I•••Nov 28, 2018 · Other
- C••• H•••• Z••••••••• from P••••••••• F•••••••• A•••••••• I•••Nov 28, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for M•••• F•••••••• A•••••••Jan 31, 2025 · New Cumberland, Pa · Firm absorbed
- 4 joined from P••••••••• F•••••••• A•••••••• I•••Nov 22, 2019 · Camp Hill, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••••••• C•••• H•••• · Managing Membercontrolsince 05/2018 · owns 75% or more
- S••••• K•••••••• I•••• · Chief Compliance Officersince 01/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| New Cumberland, Pa · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,000 to 2,303Nov 27, 2023 to Jan 29, 2024
- Corporate clients · 2 to 1Nov 27, 2023 to Jan 29, 2024
- Individual clients · 956 to 1,145Nov 27, 2023 to Jan 29, 2024
- Assets in custody · $248M to $336MNov 27, 2023 to Jan 29, 2024
- Financial planning clients · 11-25 to 26-50Nov 27, 2023 to Jan 29, 2024
- Discretionary RAUM · $287M to $386MNov 27, 2023 to Jan 29, 2024
- HNW RAUM · $51.6M to $66.9MNov 27, 2023 to Jan 29, 2024
- Individual RAUM · $247M to $336MNov 27, 2023 to Jan 29, 2024
- Non-discretionary RAUM · $18.3M to $23.6MNov 27, 2023 to Jan 29, 2024
- Pension RAUM · $1.6M to $2.1MNov 27, 2023 to Jan 29, 2024
- RAUM · $306M to $409MNov 27, 2023 to Jan 29, 2024
- Accounts · 1,861 to 1,000Jan 5, 2023 to Jan 26, 2023
- Corporate clients · 0 to 2Jan 5, 2023 to Jan 26, 2023
- HNW clients · 33 to 37Jan 5, 2023 to Jan 26, 2023
- Individual clients · 1,823 to 956Jan 5, 2023 to Jan 26, 2023
- Assets in custody · $240M to $248MJan 5, 2023 to Jan 26, 2023
- Financial planning clients · 26-50 to 11-25Jan 5, 2023 to Jan 26, 2023
- Discretionary RAUM · $330M to $287MJan 5, 2023 to Jan 26, 2023
- HNW RAUM · $60.4M to $51.6MJan 5, 2023 to Jan 26, 2023
- Individual RAUM · $272M to $247MJan 5, 2023 to Jan 26, 2023
- Non-discretionary RAUM · $8.8M to $18.3MJan 5, 2023 to Jan 26, 2023
- Pension RAUM · $1.8M to $1.6MJan 5, 2023 to Jan 26, 2023
- RAUM · $339M to $306MJan 5, 2023 to Jan 26, 2023
- Related adviser · true to falseDec 12, 2022 to Jan 5, 2023
- Accounts · 1,566 to 1,861Nov 8, 2021 to Jan 26, 2022
- Charity clients · 3 to 4Nov 8, 2021 to Jan 26, 2022
- HNW clients · 23 to 33Nov 8, 2021 to Jan 26, 2022
- Individual clients · 1,125 to 1,823Nov 8, 2021 to Jan 26, 2022
- Assets in custody · $192M to $240MNov 8, 2021 to Jan 26, 2022
- Financial planning clients · 51-100 to 26-50Nov 8, 2021 to Jan 26, 2022
- Discretionary RAUM · $259M to $330MNov 8, 2021 to Jan 26, 2022
- HNW RAUM · $39.9M to $60.4MNov 8, 2021 to Jan 26, 2022
- Individual RAUM · $223M to $272MNov 8, 2021 to Jan 26, 2022
- Non-discretionary RAUM · $7.1M to $8.8MNov 8, 2021 to Jan 26, 2022
- Pension RAUM · $1.5M to $1.8MNov 8, 2021 to Jan 26, 2022
- RAUM · $267M to $339MNov 8, 2021 to Jan 26, 2022
- Accounts · 1,318 to 1,566Nov 30, 2020 to Feb 2, 2021
- HNW clients · 3 to 23Nov 30, 2020 to Feb 2, 2021
- Individual clients · 800 to 1,125Nov 30, 2020 to Feb 2, 2021
- Pension plan clients · 0 to 1Nov 30, 2020 to Feb 2, 2021
Signals
9 dated events
- Z••••••••• I••••••••• M••••••••• • P••••••• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $409.3M)Feb 3, 2025 · Left the SEC roster · derived
- J•••••• S•••• N••••• left Z••••••••• I••••••••• M••••••••• • P••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-12-20)Jan 31, 2025 · Advisor changed firm · fact
- G••••• D• K•••••••• left Z••••••••• I••••••••• M••••••••• • P••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-12-20)Jan 31, 2025 · Advisor changed firm · fact
- J••••• T• T•••••• left Z••••••••• I••••••••• M••••••••• • P••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-12-23)Jan 31, 2025 · Advisor changed firm · fact
- C••• H•••• Z••••••••• left Z••••••••• I••••••••• M••••••••• • P••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-12-20)Jan 31, 2025 · Advisor changed firm · fact
- K••••••• I•••• S•••• left Z••••••••• I••••••••• M••••••••• • P••••••• L•• for M•••• F•••••••• A••••••• (registered 2024-12-20)Jan 31, 2025 · Advisor changed firm · fact
- Z••••••••• I••••••••• M••••••••• • P••••••• L••'s advisors moved to M•••• F•••••••• A••••••• (New Cumberland, PA): 5 of 5 registered, on the same dayJan 31, 2025 · Firm absorbed (people side) · derived
- Z••••••••• I••••••••• M••••••••• • P••••••• L•• reported RAUM $409.3M, up 34% from $305.6M (2023-11-27 to 2024-01-29)Jan 29, 2024 · RAUM change · derived
- Z••••••••• I••••••••• M••••••••• • P••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2018 · 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