DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••• G••••••• I•••
Latest filing Apr 15, 2026
First filing on the tape Mar 30, 2012 · 69 filings
SEC status approved since Jul 6, 2010
RAUM
$521M
reported, Item 5.F
Discretionary
26%
of RAUM
Private clients
84%
$437M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$37.2M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$521M as of Apr 15, 2026
Mar 30, 2012$62.0M then
HNW client RAUM$306M as of Apr 15, 2026
Mar 26, 2018$45.6M then
State-registered IARs (5.B.3)14 as of Apr 15, 2026
Mar 30, 20120 then
Employees (5.A)14 as of Apr 15, 2026
Mar 27, 201323 then
Private funds: no history
RAUM -21% over the last fiscal year+17% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Apr 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $37.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 80derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $606,940derivedHNW RAUM over HNW clients
- Average account
- $464,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 26%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -20%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Wrap fee program
- $911MreportedItem 5.I
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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$306M59%
- Individuals$131M25%
- Pooled investment vehicles$84.4M16%
- Individual clients
- 614reported
- HNW clients
- 504reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,122reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $456M sponsored, $517M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.84 fund_share=0.16 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• M•••••• K•••• | Perkasie, Pa | Apr 30, 2007 | 28 y | 1 |
| J••••• E•••• B•••• | Newtown, Pa | Apr 30, 2007 | 36 y | 1 |
| K••• D••••• F•••••• | Newtown, Pa | Apr 30, 2007 | 36 y | 1 |
| P•••••• J••• H••••Certified Financial Planner | Newtown, Pa | Apr 30, 2007 | 37 y | 1 |
| M••• H•••• M••••• | Anderson, Sc | Sep 18, 2007 | 40 y | 0 |
| A•••• D•••• | Hollywood, Fl | Oct 1, 2007 | 24 y | 1 |
| M•••••• A• H••••Certified Financial Planner | Riverside, Ct | Jan 25, 2013 | 26 y | 0 |
| T•••••• S•••• V•••••• | Newtown , Pa | Oct 21, 2013 | 31 y | 0 |
| B•••• J•••• U••••• | New York, Ny | Apr 9, 2015 | 30 y | 0 |
| R•••••• A•••••• B•••• | Anderson, Sc | Oct 19, 2016 | 34 y | 0 |
| D•••• R•• T••••• | Springfield, Mo | Feb 15, 2017 | 29 y | 0 |
| J••• F••• C•••• | Palo Alto, Ca | Jun 14, 2017 | 30 y | 0 |
| R••••• N••••• S••••••• | Delray Beach, Fl | Jan 26, 2026 | 22 y | 2 |
| L••••••• G••••• S•••••• | Cullman, Al | Aug 7, 2026 | 13 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G•• G•••••• C••••••• to A•••• C•••••• C••••Jan 3, 2024 · RIA to affiliated broker-dealer or bank
- R••••• N••••• S••••••• to L•••••••• T••••••• A•••• M••••••••• I••May 19, 2022 · RIA to RIA
- C•••••••• V•••••• G•••• to E•••••••• A•••••••• L••Dec 17, 2019 · RIA to affiliated broker-dealer or bank
- C••••••••• M•••••• G•••••• to E••••••••• W••••• M••••••••• • C•••••••• B•••••••• L••Sep 13, 2018 · RIA to RIA
- G•••••• M••••• A••••• to N••• C•••••••••Jul 17, 2017 · Other
- D•••• A••••• K••••• to O•••••••• F••••••••Mar 21, 2014 · Other
- T•••• T••• to A•• I••••••••• S•••••••• I•••Jan 15, 2014 · Other
- W•••••• R••• T•••• to T• W••••• M••••••••• L••Feb 25, 2013 · Other
- S•••••• F•••••••• C••••••• to W••• S•••• G••••• L••Feb 22, 2013 · Other
- A••••• A•••••• to C• W••••• M••••••••• L••Jul 13, 2011 · Other
- D•••• J• S•• L•••• to C•••• I••••••••• S••••••• C••••Jun 3, 2010 · Other
- P•••• J••• D••••• to A••••• P•••••• W•••••• I•••Jan 20, 2009 · Other
- M••• R•••••• B•••• to M•••••••• I••••••••• A•••••••• L••Nov 24, 2008 · Other
- J••••• M•••• M••••••• to J••• M••••• P•••••• W••••• A••••••• L••Nov 24, 2008 · Other
Joined, latest
- L••••••• G••••• S•••••• from P•••••••• S••••••••• I•••Aug 7, 2026 · Affiliated broker-dealer or bank to independent RIA
- R••••• N••••• S••••••• from L•••••••• T••••••• A•••• M••••••••• I••Jan 26, 2026 · RIA to RIA
- C••••••••• M•••••• G•••••• from W••••• P•••••••• L••Oct 31, 2017 · Other
- D•••• A••••• K••••• from O•••••••• F•••••••• C••••Jun 4, 2013 · Other
- S•••••• F•••••••• C••••••• from C••••••• F•••••••• N••••••• I•••Mar 20, 2012 · Other
- M••• R•••••• B•••• from N•••••••• B••••• B• L••Oct 22, 2008 · Other
- W•••••• R••• T•••• from C•••••••• G••••• M•••••• I•••Dec 19, 2007 · Other
- A•••• D•••• from W•••• F•••• A•••••••Oct 1, 2007 · Other
- G•••••• M••••• A••••• from S••• B••• • C••••••Jun 22, 2007 · Other
- D•••• J• S•• L•••• from S••• B••• • C••••••Apr 30, 2007 · Other
- K••• D••••• F•••••• from S••• B••• • C••••••Apr 30, 2007 · Other
- B•••• M•••••• K•••• from S••• B••• • C••••••Apr 30, 2007 · Other
- P•••••• J••• H•••• from S••• B••• • C••••••Apr 30, 2007 · Other
- J••••• E•••• B•••• from S••• B••• • C••••••Apr 30, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J••••••• L••• · Chief Financial Officer/Finopcontrolsince 05/2007 · owns less than 5%
- M•••••• M••• H•••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- M•••••• M••• H•••• · Chief Compliance Officercontrolsince 04/2022 · owns less than 5%
- M•••••••• J•••• R••••• J• · Chief Administrative Officercontrolsince 05/2003 · owns less than 5%
- S•••••• A••••• G•••••• · Chief Executive Officer/Directorcontrolsince 11/2001 · owns less than 5%
- S•••••• A••••• G•••••• · Ownercontrolsince 08/1992 · owns 75% or more of A••••• G•••••• H•••••• C•••Oration
Entity owners
- A••••• G•••••• H•••••• C••• · Ownerdirect · owns 50% to 75%
- E••••• O• J•••• U••••••• · Share Holderdirect · owns 10% to 25%
- P••••• C•••••• B••• · Executor Of E•••••direct · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• G••••••• I•••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 5 | 1 | 0 | ||
| Newtown, Pa | 5 | 0 | 0 | ||
| Anderson, Sc | 4 | 1 | 0 | ||
| Springfield, Mo | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newtown, PA5 employees
- Perkasie, PA1 employees
- , 1 employees
- , 1 employees
- Springfield, MO1 employees
- , 1 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 15, 2026discretionary share of RAUM moved from 51.0% to 26.0% between the annual amendments of 2025-03-31 and 2026-04-15peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Apr 15, 2026private-client share of RAUM moved from 100.0% to 84.0% between the annual amendments of 2025-03-31 and 2026-04-15peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,402 to 1,122Oct 29, 2025 to Mar 31, 2026
- BD registered reps · 13 to 12Oct 29, 2025 to Mar 31, 2026
- HNW clients · 1,050 to 504Oct 29, 2025 to Mar 31, 2026
- Individual clients · 352 to 614Oct 29, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 4.0Oct 29, 2025 to Mar 31, 2026
- Employees · 13 to 14Oct 29, 2025 to Mar 31, 2026
- State-registered IARs · 13 to 14Oct 29, 2025 to Mar 31, 2026
- Discretionary RAUM · $339M to $134MOct 29, 2025 to Mar 31, 2026
- HNW RAUM · $483M to $306MOct 29, 2025 to Mar 31, 2026
- Individual RAUM · $180M to $131MOct 29, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $324M to $388MOct 29, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 84350500.0Oct 29, 2025 to Mar 31, 2026
- RAUM · $663M to $521MOct 29, 2025 to Mar 31, 2026
- Wrap assets (manager) · $44.4M to $517MOct 29, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · $414M to $456MOct 29, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Oct 29, 2025
- Accounts · 1,161 to 1,402Jan 28, 2025 to Mar 31, 2025
- Advisory employees · 11 to 10Jan 28, 2025 to Mar 31, 2025
- BD registered reps · 15 to 13Jan 28, 2025 to Mar 31, 2025
- HNW clients · 812 to 1,050Jan 28, 2025 to Mar 31, 2025
- Individual clients · 349 to 352Jan 28, 2025 to Mar 31, 2025
- Employees · 15 to 13Jan 28, 2025 to Mar 31, 2025
- Financial planning clients · 1-10 to 0Jan 28, 2025 to Mar 31, 2025
- State-registered IARs · 15 to 13Jan 28, 2025 to Mar 31, 2025
- Discretionary RAUM · $12.4M to $339MJan 28, 2025 to Mar 31, 2025
- HNW RAUM · $118M to $483MJan 28, 2025 to Mar 31, 2025
- Individual RAUM · $353M to $180MJan 28, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $458M to $324MJan 28, 2025 to Mar 31, 2025
- RAUM · $470M to $663MJan 28, 2025 to Mar 31, 2025
- Wrap assets (manager) · $0 to $44.4MJan 28, 2025 to Mar 31, 2025
- Wrap assets (sponsor) · $0 to $414MJan 28, 2025 to Mar 31, 2025
- Accounts · 1,050 to 1,161Feb 14, 2024 to Mar 29, 2024
- Advisory employees · 10 to 11Feb 14, 2024 to Mar 29, 2024
- HNW clients · 735 to 812Feb 14, 2024 to Mar 29, 2024
- Individual clients · 315 to 349Feb 14, 2024 to Mar 29, 2024
- Discretionary RAUM · $200,000 to $12.4MFeb 14, 2024 to Mar 29, 2024
- HNW RAUM · $284M to $118MFeb 14, 2024 to Mar 29, 2024
- Individual RAUM · $122M to $353MFeb 14, 2024 to Mar 29, 2024
- Non-discretionary RAUM · $406M to $458MFeb 14, 2024 to Mar 29, 2024
- RAUM · $406M to $470MFeb 14, 2024 to Mar 29, 2024
Signals
7 dated events
- A••••• G••••••• I••• reported RAUM $663.0M, up 41% from $470.1M (2025-01-28 to 2025-03-31)Mar 31, 2025 · ria raum c••••e · derived
- G•• G•••••• C••••••• left A••••• G••••••• I••• for A•••• C•••••• C•••• (registered 2023-12-22)Jan 3, 2024 · advisor firm c••••e · fact
- R••••• N••••• S••••••• left A••••• G••••••• I••• for L•••••••• T••••••• A•••• M••••••••• I•• (registered 2022-04-28)May 19, 2022 · advisor firm c••••e · fact
- M••• H•••• M••••• (Chief Compliance Officer) appeared on Schedule A of A••••• G••••••• I•••Apr 27, 2022 · Control person joined · fact
- R••••• N••••• S••••••• (Chief Compliance Officer) no longer on Schedule A of A••••• G••••••• I••• (listed 2022-04-22, absent 2022-04-27)Apr 27, 2022 · Control person left · inference
- A••••• G••••••• I••• reported RAUM $341.5M, up 66% from $205.9M (2021-11-16 to 2022-03-23)Mar 23, 2022 · ria raum c••••e · derived
- M••• H•••• M••••• (Senior Compliance Officer) no longer on Schedule A of A••••• G••••••• I••• (listed 2020-02-03, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
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
- 215-497-9849reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- buckscapitaladvisors.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 212-682-8833reportedpublic record, Form ADV, Apr 15, 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
- $37.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026