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
D••••• F•••••••• P••••••• A•••••••
Legal name D••••• F•••••••• G•••• L••
Latest filing Mar 10, 2026
First filing on the tape Jul 15, 2020 · 17 filings
SEC status approved since Oct 27, 2020
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
27
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
0 advisory (5.B.1)
Offices
79
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 10, 2026
Mar 26, 2025$0 then
HNW client RAUM$0 as of Mar 10, 2026
Feb 19, 2021$0 then
State-registered IARs (5.B.3)16 as of Mar 10, 2026
Feb 19, 202117 then
Employees (5.A)16 as of Mar 10, 2026
Feb 19, 202117 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 16 to 16
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 0derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.6derivedItem 5.A over advisors
- Advisors per office
- 0.3derived80 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +50%derived
- Compensation
- hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 3reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=16.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• L•• M••••• | Richardson, Tx | Dec 10, 2020 | 43 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.7% of current headcount1 left over 36 months
Left, latest
- R••••• D•• T••••• to L•• F•••••••• L••Dec 5, 2025 · Other
- E•••• J•••• W•••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jul 5, 2023 · Other
Joined, latest
- E•••• J•••• W•••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 20, 2020 · Other
- R••••• D•• T••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 17, 2020 · Other
- J••• L•• M••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Dec 10, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• D••••• S•••• · Chief Executive Officercontrolsince 02/2020 · owns less than 5%
- G••••••• D•••••• T••••• · Secretarycontrolsince 02/2020 · owns less than 5%
- Q••••••••• L••••• L••• · Chief Compliance Officercontrolsince 02/2020 · owns less than 5%
- R••••• M••••••• J••• · Treasurercontrolsince 02/2020 · owns less than 5%
- T•••••• J•••••• · Presidentcontrolsince 02/2023 · owns less than 5%
Entity owners
- K••••••• A••••• P••••••• L•• · Ownerdirect · owns 75% or more
- B••• C•••••• D••••••••• A•• S•••••• S••••••••• 2••• • M••••••• L••• · Ownerindirect · owns 50% to 75% of B•• K••••••• A••••••••• I••••••••• L•••
- B•• K••••••• A••••••••• I••••••••• L••• · Ownerindirect · owns 75% or more of K••••••• B••••• L•
- K•• I•••••••• L•• · Ownerindirect · owns 50% to 75% of K••••••• A••••• H••••••• L••
- K••••••• A••••• H••••••• L•• · Ownerindirect · owns 75% or more of K••••••• A••••• M•••• L••
- K••••••• A••••• M•••• L•• · Ownerindirect · owns 75% or more of K••••••• A••••• P••••••• L••
- K••••••• B••••• L• · Ownerindirect · owns 75% or more of K•• I•••••••• L••
Related persons
Schedule D 7.A
- D••••• I•••••••• G•••• L••real estaten
- K••••••• I••••••• G•••• I•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irwin, Pa · principal | 8 | 5 | 0 | ||
| Pittsburgh, Pa | 5 | 5 | 0 | ||
| Atlanta, Ga | 2 | 1 | 0 | ||
| Morgantown, Wv | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Irwin, PA3 employees
- Wilkes-Barre, PA2 employees
- Atlanta, GA2 employees
- Cincinnati, OH2 employees
- Tavernier, FL2 employees
- Strongsville, OH2 employees
- St. Louis, MO2 employees
- East Windsor, CT2 employees
- Tampa, FL2 employees
- Clearwater, FL2 employees
- Huntington Station, NY2 employees
- Midlothian, VA2 employees
- Lansdowne, VA2 employees
- Atlanta, GA2 employees
- Vidalia, LA2 employees
- Clearwater, FL2 employees
- San Clemente, CA2 employees
- Morgantown, WV2 employees
- Bellevue, WA2 employees
- Louisville, KY2 employees
- Connellsville, PA2 employees
- , 2 employees
- Xenia, OH2 employees
- Safety Harbor, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high office count relative to headcountStatic outlier · filing Mar 10, 2026offices per registered advisor of 3.0 against a peer median of 0.8 (33 comparable advisers, 100.0th percentile, 4.6 robust deviations)peers: other advisers, under $100M (33) · 100% percentile
What changed
consecutive filings, newest first
- Individual clients · 2 to 3Mar 26, 2025 to Mar 10, 2026
- Financial planning clients · 0 to 1-10Mar 26, 2025 to Mar 10, 2026
- Accounts · unset to 0.0Aug 29, 2024 to Mar 26, 2025
- BD registered reps · 19 to 16Aug 29, 2024 to Mar 26, 2025
- Individual clients · 0 to 2Aug 29, 2024 to Mar 26, 2025
- Employees · 19 to 16Aug 29, 2024 to Mar 26, 2025
- Insurance-licensed employees · 19 to 16Aug 29, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Aug 29, 2024 to Mar 26, 2025
- State-registered IARs · 19 to 16Aug 29, 2024 to Mar 26, 2025
- Other offices · 80 to 79Aug 29, 2024 to Mar 26, 2025
- Discretionary RAUM · unset to 0.0Aug 29, 2024 to Mar 26, 2025
- Non-discretionary RAUM · unset to 0.0Aug 29, 2024 to Mar 26, 2025
- RAUM · unset to 0.0Aug 29, 2024 to Mar 26, 2025
- BD registered reps · 17 to 19Jul 30, 2023 to Mar 20, 2024
- Employees · 17 to 19Jul 30, 2023 to Mar 20, 2024
- Insurance-licensed employees · 17 to 19Jul 30, 2023 to Mar 20, 2024
- State-registered IARs · 17 to 19Jul 30, 2023 to Mar 20, 2024
- Advisory employees · 17 to 0Feb 9, 2022 to Mar 6, 2023
- Advisory employees · 2 to 17Feb 15, 2021 to Feb 19, 2021
- BD registered reps · 2 to 17Feb 15, 2021 to Feb 19, 2021
- Charity clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Corporate clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- HNW clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Individual clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Pension plan clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Pooled vehicle clients · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Employees · 5 to 17Feb 15, 2021 to Feb 19, 2021
- Insurance-licensed employees · 2 to 17Feb 15, 2021 to Feb 19, 2021
- State-registered IARs · 2 to 17Feb 15, 2021 to Feb 19, 2021
- HNW RAUM · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Individual RAUM · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Pension RAUM · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Pooled vehicle RAUM · unset to 0.0Feb 15, 2021 to Feb 19, 2021
- Advisory activities · 1 to 2Jul 15, 2020 to Oct 15, 2020
- Financial planning clients · unset to 0Jul 15, 2020 to Oct 15, 2020
- Business name · D••••• F•••••••• G•••• L•• to D••••• F•••••••• P••••••• A•••••••Oct 15, 2020 to Oct 15, 2020
Signals
6 dated events
- R••••• D•• T••••• left D••••• F•••••••• P••••••• A••••••• for L•• F•••••••• L•• (registered 2025-11-21)Dec 5, 2025 · Advisor changed firm · fact
- E•••• J•••• W•••••• left D••••• F•••••••• P••••••• A••••••• for U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• (registered 2023-03-14)Jul 5, 2023 · Advisor changed firm · fact
- Sheridan Michael Reddy (President) no longer on Schedule A of D••••• F•••••••• P••••••• A••••••• (listed 2022-02-09, absent 2023-03-06)Mar 6, 2023 · Control person left · inference
- J•••••• T••••• (President) appeared on Schedule A of D••••• F•••••••• P••••••• A•••••••Mar 6, 2023 · Control person joined · fact
- D••••• F•••••••• P••••••• A••••••• reported 17 state-registered advisory representatives, up from 2 (2021-02-15 to 2021-02-19)Feb 19, 2021 · Advisor headcount change · derived
- D••••• F•••••••• G•••• L•• filed its initial SEC registration (Form ADV)Jul 15, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 724-863-3420reportedpublic record, Form ADV, Mar 10, 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
- No RAUM reportedderiveda 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