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
S•••• W••••• M••••••••• L••
Latest filing Mar 17, 2026
First filing on the tape Oct 9, 2024 · 8 filings
SEC status approved since Nov 7, 2024
RAUM
$262M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
89%
$234M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$52.5M
derived; firm RAUM over IAPD count
Employees
4
4 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$262M as of Mar 17, 2026
Apr 29, 2025$177M then
HNW client RAUM$136M as of Mar 17, 2026
Apr 29, 2025$96.6M then
State-registered IARs (5.B.3)4 as of Mar 17, 2026
Apr 29, 20252 then
Employees (5.A)4 as of Mar 17, 2026
Apr 29, 20252 then
Private funds: no history
RAUM +48% over the last fiscal yearIARs 2 to 4
Practice profile
derived from the filing of Mar 17, 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
- RAUM per advisor
- $52.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $514,637derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 9.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +48%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$136M52%
- Individuals$97.3M37%
- Pension and profit-sharing plans$24.0M9.1%
- Corporations and businesses$2.9M1.1%
- Charitable organizations$1.8M0.7%
- Individual clients
- 384reported
- HNW clients
- 92reported
- Pension plan clients
- 48reported
- Charitable clients
- 2reported
- Accounts
- 510reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••• D•••• R•••••• B•••• | Bethlehem, Pa | Dec 1, 2020 | 15 y | 3 |
| S••••• F•••••••• M•••••••Certified Financial Planner, Chartered Financial Consultant | New York, Ny | Oct 9, 2024 | 18 y | 1 |
| H••••• R••••• E••••••• J•• | Bethlehem, Pa | Dec 5, 2024 | 22 y | 0 |
| C•••••••• R•••••• S•••••••• | Bethlehem, Pa | Sep 16, 2025 | 11 y | 0 |
| E•••• K••• C••••••• | Bethlehem, Pa | Jan 11, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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•••• K••• C••••••• from F••••••••• A•••••••Jan 11, 2026 · RIA to RIA
- S••••• F•••••••• M••••••• from A••••••• P••••••••• A•••••••• I••Oct 9, 2024 · Affiliated broker-dealer or bank to independent RIA
- P••• D•••• R•••••• B•••• from P••••••••• B•••••••• S•••••••• I•••Dec 1, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P•••• D•••• · Managing Member & Chief Compliance Officercontrolsince 03/2020 · owns 50% to 75%
- S•••••••• M•••• A••• · Membercontrolsince 03/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
- L•••••••• R••••• G••••investment companyn
- P••• D•••• R•••••• B••••real estaten
- S•••• F•••••••• S••••••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Bethlehem, Pa · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 17, 2026RAUM (Item 5.F) moved from $176,907,999 to $262,465,084 (+48.0%) between the annual amendments of 2025-04-29 and 2026-03-17; the peer median change was +15.0% (4550 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 472 to 510Oct 6, 2025 to Mar 17, 2026
- Charity clients · 3 to 2Oct 6, 2025 to Mar 17, 2026
- Corporate clients · 3 to 5Oct 6, 2025 to Mar 17, 2026
- HNW clients · 59 to 92Oct 6, 2025 to Mar 17, 2026
- Individual clients · 371 to 384Oct 6, 2025 to Mar 17, 2026
- Pension plan clients · 30 to 48Oct 6, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 1-10Oct 6, 2025 to Mar 17, 2026
- Discretionary RAUM · $159M to $221MOct 6, 2025 to Mar 17, 2026
- HNW RAUM · $96.6M to $136MOct 6, 2025 to Mar 17, 2026
- Individual RAUM · $57.8M to $97.3MOct 6, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $17.8M to $41.2MOct 6, 2025 to Mar 17, 2026
- Pension RAUM · $15.8M to $24.0MOct 6, 2025 to Mar 17, 2026
- RAUM · $177M to $262MOct 6, 2025 to Mar 17, 2026
- Advisory employees · 2 to 4Apr 29, 2025 to Oct 6, 2025
- Employees · 2 to 4Apr 29, 2025 to Oct 6, 2025
- Financial planning clients · 0 to 0Apr 29, 2025 to Oct 6, 2025
- State-registered IARs · 2 to 4Apr 29, 2025 to Oct 6, 2025
- Accounts · 622 to 472Dec 11, 2024 to Apr 29, 2025
- Charity clients · 2 to 3Dec 11, 2024 to Apr 29, 2025
- Corporate clients · 4 to 3Dec 11, 2024 to Apr 29, 2025
- HNW clients · 26 to 59Dec 11, 2024 to Apr 29, 2025
- Individual clients · 576 to 371Dec 11, 2024 to Apr 29, 2025
- Pension plan clients · 23 to 30Dec 11, 2024 to Apr 29, 2025
- Other offices · 1 to 0Dec 11, 2024 to Apr 29, 2025
- Discretionary RAUM · $114M to $159MDec 11, 2024 to Apr 29, 2025
- HNW RAUM · $38.3M to $96.6MDec 11, 2024 to Apr 29, 2025
- Individual RAUM · $77.0M to $57.8MDec 11, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $18.2M to $17.8MDec 11, 2024 to Apr 29, 2025
- Pension RAUM · $15.1M to $15.8MDec 11, 2024 to Apr 29, 2025
- RAUM · $132M to $177MDec 11, 2024 to Apr 29, 2025
- Advisory employees · 1 to 2Nov 25, 2024 to Dec 11, 2024
- Employees · 1 to 2Nov 25, 2024 to Dec 11, 2024
- State-registered IARs · 1 to 2Nov 25, 2024 to Dec 11, 2024
- Other offices · 0 to 1Oct 17, 2024 to Nov 25, 2024
Signals
1 dated events
- S•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 9, 2024 · 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
- 215-262-5509reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 215-205-2791reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 215-272-6475reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- starkfinancialgroup.com/wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-419-9894reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- starkfinancialgroup.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- starkfinancialgroup.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $52.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026