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
A• B••••• W•• F••••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Jun 29, 2026 · 4 filings
SEC status approved since Jun 2, 2026
RAUM
$109M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$36.3M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$109M as of Aug 5, 2026
Jun 29, 2026$109M then
HNW client RAUM$18.2M as of Aug 5, 2026
Jun 29, 2026$18.2M then
State-registered IARs (5.B.3)3 as of Aug 5, 2026
Jun 29, 20265 then
Employees (5.A)8 as of Aug 5, 2026
Jun 29, 202610 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $21.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $111,188derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$90.7M83%
- High-net-worth individuals$18.2M17%
- Individual clients
- 339reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 980reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• G•••• | Allentown, Pa | Aug 21, 2019 | 35 y | 1 |
| F•••• G•••• | Allentown, Pa | Jun 17, 2021 | 15 y | 0 |
| N••• A•••• W••••••• | Allentown, Pa | Apr 18, 2023 | 12 y | 1 |
| J••••• T••••• N•••Certified Financial Planner | Allentown, Pa | Sep 16, 2026 | 12 y | 5 |
| A••••• E•••••••• H•••••• | Allentown, Pa | Sep 16, 2026 | 10 y | 1 |
| C•••• D••••• F•••• | Allentown, Pa | Sep 17, 2026 | 10 y | 0 |
Advisor movement
2 left, 2 joined in 12 months
net 0 in 12 months1 left in 90 days2 joined in 90 daysdeparture rate 67% of current headcount2 left over 36 months
Left, latest
- A•••••• A••• D•••• to V••••• N••••••• A••••••• I••Aug 5, 2026 · RIA to RIA
- J•••• N•••••••• to M••••• B•••• F••••• W••••• L••Nov 26, 2025 · RIA to RIA
- J••• W• W••••• to V••• R••••••••• A•••••••• L••Apr 11, 2023 · Other
- N••• G•••• to G••••••• W••••• A••••••• L••Aug 15, 2022 · RIA to a state-registered adviser
Joined, latest
- J••••• T••••• N••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 16, 2026 · Wirehouse to independent RIA
- A••••• E•••••••• H•••••• from G••• L••• A•••••••• L••Sep 16, 2026 · RIA to RIA
- A•••••• A••• D•••• from L•• E••••••••• L••Apr 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- N••• A•••• W••••••• from W••••••• F••••••••• L••Apr 18, 2023 · RIA to RIA
- J••• W• W••••• from V••• F•••••••• A•••••••• I•••Mar 29, 2023 · Affiliated broker-dealer or bank to independent RIA
- N••• G•••• from B••••••••• W••••• A•••••••• L••Aug 21, 2019 · RIA to RIA
- F•••• G•••• from B••••••••• W••••• A•••••••• L••Aug 21, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••••••• W••••• A•••••••• L••Dec 16, 2019 · Whitehall, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• F•••• · Managing Membercontrolsince 06/2011 · owns 25% to 50%
- G••••• K•••••••• A••• · Executive Vice Presidentcontrolsince 06/2011 · 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 | 6 | 3 | 2 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 6Aug 5, 2026 to Sep 16, 2026
- Employees · 8 to 11Aug 5, 2026 to Sep 16, 2026
- Financial planning clients · 101-250 to 101-250Aug 5, 2026 to Sep 16, 2026
- State-registered IARs · 3 to 6Aug 5, 2026 to Sep 16, 2026
- Succession · false to unsetAug 5, 2026 to Sep 16, 2026
- Advisory employees · 4 to 3Jul 2, 2026 to Aug 5, 2026
- Employees · 9 to 8Jul 2, 2026 to Aug 5, 2026
- State-registered IARs · 4 to 3Jul 2, 2026 to Aug 5, 2026
- Advisory employees · 5 to 4Jun 29, 2026 to Jul 2, 2026
- Employees · 10 to 9Jun 29, 2026 to Jul 2, 2026
- State-registered IARs · 5 to 4Jun 29, 2026 to Jul 2, 2026
Signals
7 dated events
- C•••• D••••• F•••• registered as an investment adviser representative at A• B••••• W•• F••••••••• L••Sep 17, 2026 · Advisor registered · fact
- A••••• E•••••••• H•••••• registered as an investment adviser representative at A• B••••• W•• F••••••••• L••Sep 16, 2026 · Advisor registered · fact
- J••••• T••••• N••• registered as an investment adviser representative at A• B••••• W•• F••••••••• L••Sep 16, 2026 · Advisor registered · fact
- A•••••• A••• D•••• left A• B••••• W•• F••••••••• L•• for V••••• N••••••• A••••••• I•• (registered 2026-09-03)Aug 5, 2026 · Advisor changed firm · fact
- J•••• N•••••••• left A• B••••• W•• F••••••••• L•• for M••••• B•••• F••••• W••••• L•• (registered 2025-12-10)Nov 26, 2025 · Advisor changed firm · fact
- J••• W• W••••• left A• B••••• W•• F••••••••• L•• for V••• R••••••••• A•••••••• L•• (registered 2023-06-12)Apr 11, 2023 · Advisor changed firm · fact
- N••• G•••• left A• B••••• W•• F••••••••• L•• for G••••••• W••••• A••••••• L•• (registered 2022-08-12)Aug 15, 2022 · Advisor changed firm · 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
- abwf@abetterwayfinancial.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-440-1700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 610-440-2099reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 291-491-0821reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/a-better-way-financialreportedpublic record, Form ADV, Sep 18, 2026
- Website
- AB•••••WAYFINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-440-1700reportedpublic record, Form ADV, Sep 16, 2026
- Contact form
- abetterwayfinancial.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $36.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026