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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Former SEC-registered adviser
L••••••••• A••••••• I•••
Latest filing Mar 20, 2025
First filing on the tape Mar 27, 2020 · 20 filings
SEC status approved since Apr 27, 2020
RAUM
$279M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
78%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$279M as of Mar 20, 2025
Mar 10, 2021$176M then
HNW client RAUM$209M as of Mar 20, 2025
Mar 10, 2021$166M then
State-registered IARs (5.B.3)3 as of Mar 20, 2025
Mar 10, 20214 then
Employees (5.A)4 as of Mar 20, 2025
Mar 10, 20214 then
Private funds: no history
RAUM +11% over the last fiscal year+5.5% a year over threeIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Mar 20, 2025; every figure names its basis
- RAUM per advisor
- $92.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $829,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +22%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $230M, 60 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$209M75%
- Corporations and businesses$52.7M19%
- Individuals$9.4M3.4%
- Pension and profit-sharing plans$7.5M2.7%
- Individual clients
- 39reported
- HNW clients
- 74reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 336reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $230M for 60 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- T•••• L•• M••••• to D••••• W•••••• L••Dec 18, 2025 · RIA to RIA
- J•••• D•••• K••• to D••••• W•••••• L••Dec 18, 2025 · RIA to RIA
- L••• N••••••• P••• to D••••• W•••••• L••Dec 18, 2025 · RIA to RIA
Joined, latest
- L••• N••••••• P••• from B••• I••••••••• I••••••••• A•••••••• I•••Jul 8, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for D••••• W•••••• L••Dec 18, 2025 · Reading, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• J••••• D•••• · President & Chief Compliance Officercontrolsince 01/2020 · 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 |
|---|---|---|---|---|---|
| Reading, Pa · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 277 to 336Mar 19, 2024 to Mar 20, 2025
- Corporate clients · 5 to 4Mar 19, 2024 to Mar 20, 2025
- HNW clients · 66 to 74Mar 19, 2024 to Mar 20, 2025
- Individual clients · 27 to 39Mar 19, 2024 to Mar 20, 2025
- Assets in custody · $50.3M to $230MMar 19, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 19, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 19, 2024 to Mar 20, 2025
- Other offices · 0 to 1Mar 19, 2024 to Mar 20, 2025
- Discretionary RAUM · $245M to $273MMar 19, 2024 to Mar 20, 2025
- HNW RAUM · $185M to $209MMar 19, 2024 to Mar 20, 2025
- Individual RAUM · $7.5M to $9.4MMar 19, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $6.8M to $5.5MMar 19, 2024 to Mar 20, 2025
- Pension RAUM · $7.0M to $7.5MMar 19, 2024 to Mar 20, 2025
- RAUM · $252M to $279MMar 19, 2024 to Mar 20, 2025
- Accounts · 256 to 277Apr 4, 2023 to Mar 19, 2024
- Advisory activities · 2 to 3Apr 4, 2023 to Mar 19, 2024
- Corporate clients · 1 to 5Apr 4, 2023 to Mar 19, 2024
- HNW clients · 68 to 66Apr 4, 2023 to Mar 19, 2024
- Individual clients · 29 to 27Apr 4, 2023 to Mar 19, 2024
- Assets in custody · $216M to $50.3MApr 4, 2023 to Mar 19, 2024
- Discretionary RAUM · $210M to $245MApr 4, 2023 to Mar 19, 2024
- HNW RAUM · $203M to $185MApr 4, 2023 to Mar 19, 2024
- Individual RAUM · $5.0M to $7.5MApr 4, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $3.7M to $6.8MApr 4, 2023 to Mar 19, 2024
- Pension RAUM · $6.1M to $7.0MApr 4, 2023 to Mar 19, 2024
- RAUM · $214M to $252MApr 4, 2023 to Mar 19, 2024
- Assets in custody · unset to 216159023.0Mar 29, 2023 to Apr 4, 2023
- Custody of client assets · false to trueMar 29, 2023 to Apr 4, 2023
- Accounts · 227 to 256Mar 22, 2023 to Mar 28, 2023
- HNW clients · 36 to 68Mar 22, 2023 to Mar 28, 2023
- Individual clients · 18 to 29Mar 22, 2023 to Mar 28, 2023
- Organization form · Limited Liability Company to CorporationMar 22, 2023 to Mar 28, 2023
- Discretionary RAUM · $233M to $210MMar 22, 2023 to Mar 28, 2023
- HNW RAUM · $221M to $203MMar 22, 2023 to Mar 28, 2023
- Individual RAUM · $8.1M to $5.0MMar 22, 2023 to Mar 28, 2023
- Non-discretionary RAUM · $3.9M to $3.7MMar 22, 2023 to Mar 28, 2023
- Pension RAUM · $6.9M to $6.1MMar 22, 2023 to Mar 28, 2023
- RAUM · $237M to $214MMar 22, 2023 to Mar 28, 2023
- Succession · false to trueMar 22, 2023 to Mar 28, 2023
- Business name · L••••••••• A•••••••• L•• to L••••••••• A••••••• I•••Mar 28, 2023 to Mar 28, 2023
Signals
7 dated events
- L••••••••• A••••••• I••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $278.6M)Feb 2, 2026 · Left the SEC roster · derived
- L••• N••••••• P••• left L••••••••• A••••••• I••• for D••••• W•••••• L•• (registered 2025-12-15)Dec 18, 2025 · Advisor changed firm · fact
- J•••• D•••• K••• left L••••••••• A••••••• I••• for D••••• W•••••• L•• (registered 2025-12-15)Dec 18, 2025 · Advisor changed firm · fact
- L••••••••• A••••••• I•••'s advisors moved to D••••• W•••••• L•• (Reading, PA): 3 of 3 registered, on the same dayDec 18, 2025 · Firm absorbed (people side) · derived
- T•••• L•• M••••• left L••••••••• A••••••• I••• for D••••• W•••••• L•• (registered 2025-12-15)Dec 18, 2025 · Advisor changed firm · fact
- L••••••••• A•••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 28, 2023 · Succession (Item 4) · fact
- L••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2020 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026