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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SEC-registered adviser
T•• A••••• G•••• A•••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Aug 1, 2019 · 13 filings
SEC status approved since Aug 30, 2019
RAUM
$234M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
99%
$232M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.4M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$234M as of Mar 4, 2026
Mar 30, 2020$145M then
HNW client RAUM$205M as of Mar 4, 2026
Mar 30, 2020$122M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Mar 30, 20204 then
Employees (5.A)8 as of Mar 4, 2026
Mar 30, 20207 then
Private funds: no history
RAUM +5.4% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 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
- RAUM per advisor
- $58.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $540,983derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.4%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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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 securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$205M88%
- Individuals$27.0M12%
- Corporations and businesses$1.9M0.8%
- Individual clients
- 114reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 432reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A• R•••••••• | Jenkintown, Pa | Nov 1, 2019 | 24 y | 2 |
| J•••• R••• F••••• | Jenkintown, Pa | Nov 1, 2019 | 10 y | 1 |
| J••••• M••••• K••••• | Jenkintown, Pa | Nov 13, 2019 | 40 y | 0 |
| B•••••• K••• R•••••••• | Jenkintown, Pa | May 16, 2025 | 11 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
- S••••• A• R•••••••• from R•••••• J•••• • A••••••••• I•••Nov 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• R••• F••••• from R•••••• J•••• • A••••••••• I•••Nov 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• J•••• • A••••••••• I•••Nov 5, 2019 · Jenkintown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••••• S•••••• A• · Chief Compliance Officer, Managing Membercontrolsince 08/2019 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Jenkintown, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 423 to 432Jan 31, 2025 to Mar 4, 2026
- Advisory employees · 4 to 5Jan 31, 2025 to Mar 4, 2026
- Corporate clients · unset to 3.0Jan 31, 2025 to Mar 4, 2026
- HNW clients · 37 to 42Jan 31, 2025 to Mar 4, 2026
- Individual clients · 105 to 114Jan 31, 2025 to Mar 4, 2026
- Assets in custody · $540,335 to $7.4MJan 31, 2025 to Mar 4, 2026
- Discretionary RAUM · $194M to $213MJan 31, 2025 to Mar 4, 2026
- HNW RAUM · $180M to $205MJan 31, 2025 to Mar 4, 2026
- Individual RAUM · $36.3M to $27.0MJan 31, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $27.3M to $20.4MJan 31, 2025 to Mar 4, 2026
- RAUM · $222M to $234MJan 31, 2025 to Mar 4, 2026
- Accounts · 456 to 423Mar 28, 2024 to Jan 31, 2025
- HNW clients · 36 to 37Mar 28, 2024 to Jan 31, 2025
- Individual clients · 119 to 105Mar 28, 2024 to Jan 31, 2025
- Assets in custody · unset to 540335.0Mar 28, 2024 to Jan 31, 2025
- Financial planning clients · 11-25 to 51-100Mar 28, 2024 to Jan 31, 2025
- Discretionary RAUM · $145M to $194MMar 28, 2024 to Jan 31, 2025
- HNW RAUM · $166M to $180MMar 28, 2024 to Jan 31, 2025
- Individual RAUM · $25.3M to $36.3MMar 28, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $54.8M to $27.3MMar 28, 2024 to Jan 31, 2025
- RAUM · $200M to $222MMar 28, 2024 to Jan 31, 2025
- Accounts · 432 to 456Sep 21, 2023 to Mar 28, 2024
- HNW clients · 35 to 36Sep 21, 2023 to Mar 28, 2024
- Individual clients · 112 to 119Sep 21, 2023 to Mar 28, 2024
- Discretionary RAUM · $114M to $145MSep 21, 2023 to Mar 28, 2024
- HNW RAUM · $144M to $166MSep 21, 2023 to Mar 28, 2024
- Individual RAUM · $23.9M to $25.3MSep 21, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $60.8M to $54.8MSep 21, 2023 to Mar 28, 2024
- RAUM · $175M to $200MSep 21, 2023 to Mar 28, 2024
- Accounts · 398 to 432Jan 3, 2023 to Mar 3, 2023
- HNW clients · 33 to 35Jan 3, 2023 to Mar 3, 2023
- Individual clients · 107 to 112Jan 3, 2023 to Mar 3, 2023
- Financial planning clients · 101-250 to 11-25Jan 3, 2023 to Mar 3, 2023
- HQ city · NEW HOPE to JENKINTOWNJan 3, 2023 to Mar 3, 2023
- Discretionary RAUM · $112M to $114MJan 3, 2023 to Mar 3, 2023
- HNW RAUM · $173M to $144MJan 3, 2023 to Mar 3, 2023
- Individual RAUM · $26.7M to $23.9MJan 3, 2023 to Mar 3, 2023
- Non-discretionary RAUM · $88.1M to $60.8MJan 3, 2023 to Mar 3, 2023
- RAUM · $200M to $175MJan 3, 2023 to Mar 3, 2023
- HQ city · JENKINTOWN to NEW HOPEMar 11, 2022 to Jan 3, 2023
Signals
1 dated events
- R••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 1, 2019 · 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
- 215-576-6666reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-884-0356reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- arandagroup.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-576-6666reportedpublic record, Form ADV, Mar 4, 2026
- Contact form
- arandagroup.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- arandagroup.com/teamreportedpublished 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
- $58.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026