DFX Intelligence
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T••••••• W•••••
Independent wealth manager, based in Malvern, Pennsylvania, reporting $153M of regulatory assets across 1 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
- $153M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +15%
- Private clients
- 100% of RAUM, $152M
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
- financial planning (Item 5.G.1) 1
- Contact points 7
Every filed figure, and the identifiersCRD 301107 · SEC 801-121486 · 8 filingsShowHide
CRD 301107SEC 801-121486Legal name T••••••• W••••• M••••••••• L••First filing on the tape May 13, 2021, latest Mar 30, 2026SEC status approved since Jul 14, 2021IAPD
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$153M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$153M as of Mar 30, 2026
Mar 23, 2022$118M then
HNW client RAUM$136M as of Mar 30, 2026
Mar 23, 2022$103M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 23, 20221 then
Employees (5.A)2 as of Mar 30, 2026
Mar 23, 20222 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $153MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $388,048derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $5.7M, 3 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$136M90%
- Individuals$15.6M10%
- Charitable organizations$443,9020.3%
- Individual clients
- 51reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 393reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.7M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• M•••••• T•••••••Certified Financial Planner | Malvern, Pa | May 6, 2019 | 26 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• S••••••• M•••••• · President/Chief Compliance Officercontrolsince 03/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 30, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-31, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Accounts · 369 to 393Mar 31, 2025 to Mar 30, 2026
- Advisory activities · 3 to 4Mar 31, 2025 to Mar 30, 2026
- Business name · T••••••• W••••• M••••••••• to T••••••• W•••••Mar 31, 2025 to Mar 30, 2026
- HNW clients · 42 to 49Mar 31, 2025 to Mar 30, 2026
- Individual clients · 58 to 51Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $5.1M to $5.7MMar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $133M to $153MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $113M to $136MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $19.3M to $15.6MMar 31, 2025 to Mar 30, 2026
- RAUM · $133M to $153MMar 31, 2025 to Mar 30, 2026
- Accounts · 341 to 369Mar 27, 2024 to Mar 31, 2025
- HNW clients · 39 to 42Mar 27, 2024 to Mar 31, 2025
- Individual clients · 54 to 58Mar 27, 2024 to Mar 31, 2025
- Assets in custody · unset to 5139394.0Mar 27, 2024 to Mar 31, 2025
- Custody of client assets · false to trueMar 27, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 31, 2025
- HQ city · unset to MALVERNMar 27, 2024 to Mar 31, 2025
- HQ state · unset to PAMar 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $118M to $133MMar 27, 2024 to Mar 31, 2025
- HNW RAUM · $101M to $113MMar 27, 2024 to Mar 31, 2025
- Individual RAUM · $17.1M to $19.3MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.1M to $0Mar 27, 2024 to Mar 31, 2025
- RAUM · $119M to $133MMar 27, 2024 to Mar 31, 2025
- Accounts · 320 to 341Mar 22, 2023 to Mar 27, 2024
- HNW clients · 38 to 39Mar 22, 2023 to Mar 27, 2024
- Discretionary RAUM · $101M to $118MMar 22, 2023 to Mar 27, 2024
- HNW RAUM · $85.7M to $101MMar 22, 2023 to Mar 27, 2024
- Individual RAUM · $16.1M to $17.1MMar 22, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.2M to $1.1MMar 22, 2023 to Mar 27, 2024
- RAUM · $102M to $119MMar 22, 2023 to Mar 27, 2024
- Accounts · 312 to 320Mar 23, 2022 to Mar 22, 2023
- Individual clients · 49 to 54Mar 23, 2022 to Mar 22, 2023
- HQ city · MALVERN to unsetMar 23, 2022 to Mar 22, 2023
- HQ state · PA to unsetMar 23, 2022 to Mar 22, 2023
- Discretionary RAUM · $116M to $101MMar 23, 2022 to Mar 22, 2023
- HNW RAUM · $103M to $85.7MMar 23, 2022 to Mar 22, 2023
- Individual RAUM · $14.3M to $16.1MMar 23, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $1.6M to $1.2MMar 23, 2022 to Mar 22, 2023
- RAUM · $118M to $102MMar 23, 2022 to Mar 22, 2023
- Accounts · 296 to 312Jul 13, 2021 to Mar 23, 2022
Signals
1 dated events
- ••• LockedMay 13, 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 email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- 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, Mar 30, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $153Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026