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
P••••••• R••••••••• I•••••••• L••
Latest filing May 1, 2026
First filing on the tape Sep 1, 2021 · 10 filings
SEC status approved since Sep 30, 2021
RAUM
$308M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$294M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$308M as of May 1, 2026
Mar 2, 2022$123M then
HNW client RAUM$200M as of May 1, 2026
Mar 2, 2022$69.9M then
State-registered IARs (5.B.3)4 as of May 1, 2026
Mar 2, 20224 then
Employees (5.A)11 as of May 1, 2026
Mar 2, 20224 then
Private funds: no history
RAUM +2.2% over the last fiscal year+17% a year over threeIARs 2 to 4
Practice profile
derived from the filing of May 1, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $375,983derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -28%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $299M, 258 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M65%
- Individuals$94.0M31%
- Pension and profit-sharing plans$8.7M2.8%
- Corporations and businesses$3.5M1.1%
- Individual clients
- 171reported
- HNW clients
- 81reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 818reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $299M for 258 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.03 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 |
|---|---|---|---|---|
| A••••• J••• D••••••• | Montgomeryville, Pa | Aug 4, 2020 | 21 y | 1 |
| M••• W•••••• V•••••••••Certified Financial Planner | Montgomeryville, Pa | Apr 16, 2024 | 13 y | 1 |
| B•••••• G•••••Certified Financial Planner | Montgomeryville, Pa | Mar 26, 2026 | 13 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 headcount2 left over 36 months
Left, latest
- J•••• O••• S•••• to G•••• V••••• A•••••• G••••• L••Mar 18, 2025 · RIA to RIA
- S••• G•••••• L••••• to N•••••• A•••••••Apr 8, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••••• G••••• from C••••• I••••••••• A••••••• L••Mar 26, 2026 · Affiliated broker-dealer or bank to independent RIA
- M••• W•••••• V••••••••• from V••••••• A•••••••• I•••Apr 16, 2024 · Affiliated broker-dealer or bank to independent RIA
- J•••• O••• S•••• from G••••• W••••• M••••••••• I•••Nov 9, 2020 · Affiliated broker-dealer or bank to independent RIA
- S••• G•••••• L••••• from C••••••• P•••••••• L••Sep 4, 2020 · RIA to RIA
- A••••• J••• D••••••• from G••••• W••••• M••••••••• I•••Aug 4, 2020 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from G••••• W••••• M••••••••• I•••Apr 12, 2024 · Montgomeryville, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• A•••••• J••• · Managing Member/Chief Compliance Officercontrolsince 05/2020 · 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 |
|---|---|---|---|---|---|
| Montgomeryville, Pa · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $300,970,590 to $298,851,364, advisors 2 to 4, private clients 349 to 252, offices 0 to 0 (2025-03-27 to 2026-01-30)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Pension plan clients · unset to 1.0Jan 30, 2026 to May 1, 2026
- HQ city · LANSDALE to MONTGOMERYVILLEJan 30, 2026 to May 1, 2026
- Discretionary RAUM · $299M to $308MJan 30, 2026 to May 1, 2026
- Pension RAUM · unset to 8702907.0Jan 30, 2026 to May 1, 2026
- RAUM · $299M to $308MJan 30, 2026 to May 1, 2026
- Accounts · 958 to 818Oct 24, 2025 to Jan 30, 2026
- Advisory employees · 2 to 4Oct 24, 2025 to Jan 30, 2026
- Corporate clients · unset to 1.0Oct 24, 2025 to Jan 30, 2026
- HNW clients · 95 to 81Oct 24, 2025 to Jan 30, 2026
- Individual clients · 254 to 171Oct 24, 2025 to Jan 30, 2026
- Assets in custody · $301M to $299MOct 24, 2025 to Jan 30, 2026
- Employees · 9 to 11Oct 24, 2025 to Jan 30, 2026
- State-registered IARs · 2 to 4Oct 24, 2025 to Jan 30, 2026
- Discretionary RAUM · $301M to $299MOct 24, 2025 to Jan 30, 2026
- HNW RAUM · $199M to $200MOct 24, 2025 to Jan 30, 2026
- Individual RAUM · $101M to $94.0MOct 24, 2025 to Jan 30, 2026
- RAUM · $301M to $299MOct 24, 2025 to Jan 30, 2026
- Accounts · 351 to 958Mar 14, 2024 to Mar 27, 2025
- BD registered reps · 2 to 0Mar 14, 2024 to Mar 27, 2025
- Charity clients · 3.0 to unsetMar 14, 2024 to Mar 27, 2025
- HNW clients · 80 to 95Mar 14, 2024 to Mar 27, 2025
- Individual clients · 351 to 254Mar 14, 2024 to Mar 27, 2025
- Assets in custody · $1.1M to $301MMar 14, 2024 to Mar 27, 2025
- Employees · 7 to 9Mar 14, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Mar 14, 2024 to Mar 27, 2025
- Discretionary RAUM · $281M to $301MMar 14, 2024 to Mar 27, 2025
- HNW RAUM · $176M to $199MMar 14, 2024 to Mar 27, 2025
- Individual RAUM · $105M to $101MMar 14, 2024 to Mar 27, 2025
- RAUM · $281M to $301MMar 14, 2024 to Mar 27, 2025
- Accounts · 650 to 351Jul 27, 2023 to Mar 14, 2024
- Advisory employees · 3 to 2Jul 27, 2023 to Mar 14, 2024
- Charity clients · 1 to 3Jul 27, 2023 to Mar 14, 2024
- HNW clients · 56 to 80Jul 27, 2023 to Mar 14, 2024
- Individual clients · 271 to 351Jul 27, 2023 to Mar 14, 2024
- Assets in custody · unset to 1051226.0Jul 27, 2023 to Mar 14, 2024
- Custody of client assets · false to trueJul 27, 2023 to Mar 14, 2024
- Insurance-licensed employees · 2 to 0Jul 27, 2023 to Mar 14, 2024
- State-registered IARs · 3 to 2Jul 27, 2023 to Mar 14, 2024
- Discretionary RAUM · $191M to $281MJul 27, 2023 to Mar 14, 2024
- HNW RAUM · $113M to $176MJul 27, 2023 to Mar 14, 2024
Signals
4 dated events
- J•••• O••• S•••• left P••••••• R••••••••• I•••••••• L•• for G•••• V••••• A•••••• G••••• L•• (registered 2025-03-17)Mar 18, 2025 · a•••••• firm change · fact
- 2 advisors left G••••• W••••• M••••••••• I••• (Montgomeryville, PA) for P••••••• R••••••••• I•••••••• L•• on the same dayApr 12, 2024 · Team lift-out · derived
- S••• G•••••• L••••• left P••••••• R••••••••• I•••••••• L•• for N•••••• A••••••• (registered 2024-02-28)Apr 8, 2024 · a•••••• firm change · fact
- P••••••• R••••••••• I•••••••• L•• filed its initial SEC registration (Form ADV)Sep 1, 2021 · 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
- 215-997-3169reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 215-997-5700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/preparedretirementinstitute/posts/?feedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- preparedretirementinstitute.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-997-5700reportedpublic record, Form ADV, May 1, 2026
- Team page
- preparedretirementinstitute.com/our-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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026