DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
E••••••• F•••••••• G••••• L••
Independent wealth manager, based in Allentown, Pennsylvania, reporting $199M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $199M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 98% of RAUM, $196M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $169MRAUM now $199M
- HNW share of RAUM 0.813456030959734
- Contact points 4
Every filed figure, and the identifiersCRD 299818 · SEC 801-120774 · 11 filingsShowHide
CRD 299818SEC 801-120774First filing on the tape Mar 12, 2021, latest Feb 26, 2026SEC status approved since Apr 9, 2021IAPD
RAUM
$199M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$196M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.3M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$199M as of Feb 26, 2026
Mar 21, 2022$136M then
HNW client RAUM$162M as of Feb 26, 2026
Mar 21, 2022$79.5M then
State-registered IARs (5.B.3)3 as of Feb 26, 2026
Mar 21, 20222 then
Employees (5.A)6 as of Feb 26, 2026
Mar 21, 20224 then
Private funds: no history
RAUM +18% over the last fiscal year+20% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 26, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $66.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $249,515derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $4.4M, 4 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M81%
- Individuals$33.8M17%
- Pension and profit-sharing plans$3.2M1.6%
- Corporations and businesses$102,2130.1%
- Individual clients
- 171reported
- HNW clients
- 89reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 797reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.4M for 4 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• D•••• E•••••••Chartered Financial Consultant | Allentown, Pa | Feb 28, 2019 | 24 y | 1 |
| T•••••• J• E••••••• | Allentown, Pa | Feb 28, 2019 | 13 y | 0 |
| C••• D•••• W•••••• | Allentown, Pa | Nov 13, 2025 | 12 y | 0 |
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
- K•••• D•••• E••••••• from M•• I•••••••• S•••••••• L••Feb 28, 2019 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• K••••• D•••• · Managing Partnercontrolsince 01/2019 · owns 75% or more
- E•••••••• T••••••• J• · Partner And Chief Compliance Officercontrolsince 01/2019 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Allentown, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 26, 2026HNW share of RAUM moved from 65.0% to 81.0% between the annual amendments of 2025-02-27 and 2026-02-26peers: independent wealth managers, $100M to $500M (5,682)
What changed
consecutive filings, newest first
- Accounts · 728 to 797Dec 16, 2025 to Feb 26, 2026
- HNW clients · 58 to 89Dec 16, 2025 to Feb 26, 2026
- Individual clients · 180 to 171Dec 16, 2025 to Feb 26, 2026
- Assets in custody · $5.2M to $4.4MDec 16, 2025 to Feb 26, 2026
- Financial planning clients · 0 to 1-10Dec 16, 2025 to Feb 26, 2026
- Discretionary RAUM · $166M to $194MDec 16, 2025 to Feb 26, 2026
- HNW RAUM · $111M to $162MDec 16, 2025 to Feb 26, 2026
- Individual RAUM · $55.8M to $33.8MDec 16, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $2.9M to $4.6MDec 16, 2025 to Feb 26, 2026
- Pension RAUM · $2.7M to $3.2MDec 16, 2025 to Feb 26, 2026
- RAUM · $169M to $199MDec 16, 2025 to Feb 26, 2026
- Advisory employees · 2 to 3Jul 30, 2025 to Dec 16, 2025
- Employees · 4 to 6Jul 30, 2025 to Dec 16, 2025
- State-registered IARs · 2 to 3Jul 30, 2025 to Dec 16, 2025
- Financial planning clients · 0 to 0Feb 27, 2025 to Jul 30, 2025
- Accounts · 716 to 728Mar 25, 2024 to Feb 27, 2025
- HNW clients · 57 to 58Mar 25, 2024 to Feb 27, 2025
- Individual clients · 174 to 180Mar 25, 2024 to Feb 27, 2025
- Assets in custody · $8.0M to $5.2MMar 25, 2024 to Feb 27, 2025
- Discretionary RAUM · $145M to $166MMar 25, 2024 to Feb 27, 2025
- HNW RAUM · $89.5M to $111MMar 25, 2024 to Feb 27, 2025
- Individual RAUM · $55.2M to $55.8MMar 25, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $2.0M to $2.9MMar 25, 2024 to Feb 27, 2025
- Pension RAUM · $2.0M to $2.7MMar 25, 2024 to Feb 27, 2025
- RAUM · $147M to $169MMar 25, 2024 to Feb 27, 2025
- Accounts · 677 to 716Aug 25, 2023 to Mar 25, 2024
- HNW clients · 32 to 57Aug 25, 2023 to Mar 25, 2024
- Individual clients · 189 to 174Aug 25, 2023 to Mar 25, 2024
- Assets in custody · unset to 8044984.0Aug 25, 2023 to Mar 25, 2024
- Custody of client assets · false to trueAug 25, 2023 to Mar 25, 2024
- Financial planning clients · 1-10 to 0Aug 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $113M to $145MAug 25, 2023 to Mar 25, 2024
- HNW RAUM · $59.3M to $89.5MAug 25, 2023 to Mar 25, 2024
- Individual RAUM · $53.2M to $55.2MAug 25, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $1.4M to $2.0MAug 25, 2023 to Mar 25, 2024
- Pension RAUM · $1.4M to $2.0MAug 25, 2023 to Mar 25, 2024
- RAUM · $114M to $147MAug 25, 2023 to Mar 25, 2024
- Accounts · 681 to 677Apr 18, 2022 to Mar 13, 2023
- HNW clients · 46 to 32Apr 18, 2022 to Mar 13, 2023
- Individual clients · 180 to 189Apr 18, 2022 to Mar 13, 2023
Signals
1 dated events
- ••• LockedMar 12, 2021 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Feb 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 26, 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
- $66.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026