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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
4• P•••• I••••••••• A••••••• G••••
Legal name 4• P•••• L••
Latest filing Apr 20, 2026
First filing on the tape Dec 13, 2019 · 18 filings
SEC status approved since Jan 10, 2020
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$270M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$90.7M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$272M as of Apr 20, 2026
Mar 26, 2021$164M then
HNW client RAUM$249M as of Apr 20, 2026
Mar 26, 2021$121M then
State-registered IARs (5.B.3)3 as of Apr 20, 2026
Mar 26, 20213 then
Employees (5.A)5 as of Apr 20, 2026
Mar 26, 20216 then
Private funds: no history
RAUM +28% over the last fiscal year+13% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 20, 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
- RAUM per advisor
- $90.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $611,549derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $20.4M, 56 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$249M92%
- Individuals$21.1M7.7%
- Pension and profit-sharing plans$1.8M0.7%
- Individual clients
- 44reported
- HNW clients
- 91reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 445reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $20.4M for 56 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| L•••• C••• F••••••Certified Financial Planner, Chartered Financial Consultant | Newtown, Pa | Feb 14, 2020 | 30 y | 2 |
| B••• K•••••• H••••••Certified Financial Planner | Newtown, Pa | Feb 14, 2020 | 28 y | 4 |
| E••• N•• M••••••Certified Financial Planner | Newtown, Pa | Feb 19, 2020 | 32 y | 3 |
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
- E••• N•• M•••••• from K••••••••• A•••••••• L••Feb 19, 2020 · Other
- L•••• C••• F•••••• from K• F•••••••• P•••••••• L••Feb 14, 2020 · RIA to a newly registered adviser
- B••• K•••••• H•••••• from E•••••••• A•••••••• L••Feb 14, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• L••••• C••• · Managing Membercontrolsince 02/2020 · owns 25% to 50%
- H••••••• B•••• K•••••• · Director Of Researchcontrolsince 02/2023 · owns 10% to 25%
- M••••••• E•••• N•• · Managing Membercontrolsince 02/2020 · owns 25% to 50%
- V••••••• L••••• C•••••••• · Chief Compliance Officercontrolsince 11/2021 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Newtown, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 402 to 445Mar 26, 2025 to Mar 26, 2026
- HNW clients · 82 to 91Mar 26, 2025 to Mar 26, 2026
- Individual clients · 42 to 44Mar 26, 2025 to Mar 26, 2026
- Assets in custody · $17.6M to $20.4MMar 26, 2025 to Mar 26, 2026
- Employees · 4 to 5Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $212M to $272MMar 26, 2025 to Mar 26, 2026
- HNW RAUM · $190M to $249MMar 26, 2025 to Mar 26, 2026
- Individual RAUM · $21.5M to $21.1MMar 26, 2025 to Mar 26, 2026
- Pension RAUM · $1.2M to $1.8MMar 26, 2025 to Mar 26, 2026
- RAUM · $212M to $272MMar 26, 2025 to Mar 26, 2026
- Accounts · 392 to 402Mar 22, 2024 to Mar 26, 2025
- HNW clients · 70 to 82Mar 22, 2024 to Mar 26, 2025
- Individual clients · 49 to 42Mar 22, 2024 to Mar 26, 2025
- Assets in custody · $15.6M to $17.6MMar 22, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $198M to $212MMar 22, 2024 to Mar 26, 2025
- HNW RAUM · $173M to $190MMar 22, 2024 to Mar 26, 2025
- Individual RAUM · $24.0M to $21.5MMar 22, 2024 to Mar 26, 2025
- Pension RAUM · $885,392 to $1.2MMar 22, 2024 to Mar 26, 2025
- RAUM · $198M to $212MMar 22, 2024 to Mar 26, 2025
- Accounts · 389 to 392Mar 16, 2023 to Mar 22, 2024
- HNW clients · 69 to 70Mar 16, 2023 to Mar 22, 2024
- Individual clients · 47 to 49Mar 16, 2023 to Mar 22, 2024
- Assets in custody · $24.8M to $15.6MMar 16, 2023 to Mar 22, 2024
- Other offices · 0 to 2Mar 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $188M to $198MMar 16, 2023 to Mar 22, 2024
- HNW RAUM · $163M to $173MMar 16, 2023 to Mar 22, 2024
- Individual RAUM · $22.0M to $24.0MMar 16, 2023 to Mar 22, 2024
- Pension RAUM · $2.5M to $885,392Mar 16, 2023 to Mar 22, 2024
- RAUM · $188M to $198MMar 16, 2023 to Mar 22, 2024
- Accounts · 319 to 389Mar 28, 2022 to Mar 16, 2023
- HNW clients · 64 to 69Mar 28, 2022 to Mar 16, 2023
- Individual clients · 37 to 47Mar 28, 2022 to Mar 16, 2023
- Assets in custody · $20.4M to $24.8MMar 28, 2022 to Mar 16, 2023
- Discretionary RAUM · $182M to $188MMar 28, 2022 to Mar 16, 2023
- HNW RAUM · $160M to $163MMar 28, 2022 to Mar 16, 2023
- Individual RAUM · $19.5M to $22.0MMar 28, 2022 to Mar 16, 2023
- Pension RAUM · $2.4M to $2.5MMar 28, 2022 to Mar 16, 2023
- RAUM · $182M to $188MMar 28, 2022 to Mar 16, 2023
- Accounts · 246 to 319Nov 4, 2021 to Mar 28, 2022
Signals
5 dated events
- Kenneth Brad Heindel (Director Of Research) appeared on Schedule A of 4• P•••• I••••••••• A••••••• G••••Mar 16, 2023 · Control person joined · fact
- Ann Lee Fancher (Managing Member) no longer on Schedule A of 4• P•••• I••••••••• A••••••• G•••• (listed 2020-01-28, absent 2020-02-21)Feb 21, 2020 · Control person left · inference
- Clay Louis Fancher (Managing Member) appeared on Schedule A of 4• P•••• I••••••••• A••••••• G••••Feb 21, 2020 · Control person joined · fact
- Nmn Erik Mosholt (Managing Member) appeared on Schedule A of 4• P•••• I••••••••• A••••••• G••••Feb 21, 2020 · Control person joined · fact
- 4• P•••• I••••••••• A••••••• G•••• filed its initial SEC registration (Form ADV)Dec 13, 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 email
- l•••••••@4••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- p••••••@4••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-497-8310reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-497-8311reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-867-7103reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- 4••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-497-8310reportedpublic record, Form ADV, Apr 20, 2026
- Team page
- 4••••••.comreportedpublished 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
- $90.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026