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
M•••••••• A•••• M••••••••• L••
Latest filing Feb 20, 2026
First filing on the tape Sep 15, 2020 · 26 filings
SEC status approved since Jul 14, 2021
RAUM
$691M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$689M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$62.8M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$691M as of Feb 20, 2026
Mar 18, 2022$398M then
HNW client RAUM$264M as of Feb 20, 2026
Mar 18, 2022$189M then
State-registered IARs (5.B.3)13 as of Feb 20, 2026
Mar 18, 20227 then
Employees (5.A)13 as of Feb 20, 2026
Mar 18, 202215 then
Private funds: no history
RAUM +26% over the last fiscal year+22% a year over threeIARs 11 to 13offices 4 to 5
Practice profile
derived from the filing of Feb 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $62.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $260,400derivedHNW RAUM over HNW clients
- Average account
- $213,897derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $189M, 857 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$425M62%
- High-net-worth individuals$264M38%
- Corporations and businesses$1.7M0.2%
- Charitable organizations$275,9460.0%
- Individual clients
- 335reported
- HNW clients
- 1,012reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 3,229reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $189M for 857 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• T••••• R•••••••••Chartered Financial Consultant | Germantown, Md | May 13, 2022 | 10 y | 2 |
| C•••• C•••••• J••••• B•••••• | Pittsburgh, Pa | Dec 21, 2022 | 12 y | 2 |
| C•••• K• C•••••• | Pittsburgh, Pa | Jun 4, 2024 | 11 y | 0 |
| T••••• A•••• H•••• | Kokomo, In | Jun 24, 2024 | 12 y | 0 |
| J•••• F•••• | Kokomo, In | Apr 3, 2025 | 15 y | 0 |
| A••••• C•••••• | Germantown, Md | Jan 14, 2026 | 10 y | 1 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 18% of current headcount3 left over 36 months
Left, latest
- D••••• J••• J•••••• to V•••• F•••••••• A•••••••• I•••Aug 25, 2026 · RIA to affiliated broker-dealer or bank
- J•••• V•••••• M••••• to M••••• L••Jun 15, 2026 · RIA to RIA
- A••• M•••• B••••••• to L•• F•••••••• L••Nov 28, 2023 · RIA to affiliated broker-dealer or bank
- H••• L•• K•••••• to P•• W••••• M•••••••••Mar 28, 2022 · RIA to affiliated broker-dealer or bank
- S•••• P•••••• L•• to A•••••••• C•••••• M•••••••••Feb 11, 2021 · RIA to RIA
- T••••• B•••• H•••• to A•••••••• C•••••• M•••••••••Feb 11, 2021 · RIA to RIA
- M•••••• D•••• A•••••••• to A•••••••• C•••••• M•••••••••Feb 11, 2021 · RIA to RIA
- R•••••• T••• B•••• to A•••••••• C•••••• M•••••••••Feb 11, 2021 · RIA to RIA
Joined, latest
- A••••• C•••••• from A•• F•••••••• W••••• M••••••••• L••Jan 14, 2026 · RIA to RIA
- C•••• C•••••• J••••• B•••••• from C••••• A••••••• G••••• L••Dec 21, 2022 · RIA to RIA
- T••••• B•••• H•••• from A•••••••• C•••••• M•••••••••Apr 16, 2021 · RIA to RIA
- R•••••• T••• B•••• from A•••••••• C•••••• M•••••••••Apr 16, 2021 · RIA to RIA
- M•••••• D•••• A•••••••• from A•••••••• C•••••• M•••••••••Apr 14, 2021 · RIA to RIA
- S•••• P•••••• L•• from B••••••••• C•••••• M••••••••• L••Dec 7, 2020 · RIA to a newly registered adviser
- P•••••• T••••• R••••••••• from B••••••••• C•••••• M••••••••• L••Oct 29, 2020 · Other
- M•••••• D•••• A•••••••• from A•••••••• C•••••• M•••••••••Oct 20, 2020 · Other
- R•••••• T••• B•••• from A•••••••• C•••••• M•••••••••Oct 20, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A•••••••• C•••••• M•••••••••Feb 11, 2021 · Pittsburgh, Pa
- 2 joined from A•••••••• C•••••• M•••••••••Apr 14, 2021 · Cornelius, Nc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• D•••• · Managing Partner & Chief Compliance Officercontrolsince 07/2020 · owns less than 5%
- B••••• R••••••• T••• · Managing Partnercontrolsince 07/2020 · owns less than 5%
- H••••• T•••••• B•••• · Member, Managing Partnercontrolsince 07/2020 · owns 25% to 50%
- W•••• W•••••• J••• · Member, Managing Partnercontrolsince 07/2020 · owns 25% to 50%
- A••••••••• M••••••• D•••• · Trusteecontrolsince 06/2015 · owns F of T•• M•••••• D• A••••••••• J•• L••••• T••••• D•••• J••• 2•• 2•••
- B••••• R••••••• T••• · Trusteecontrolsince 07/2017 · owns F of T•• R•••••• T••• B•••• L••••• T••••• D•••• J•••••• 1•• 2•••
Entity owners
- T•• M•••••• D• A••••••••• J•• L••••• T••••• D•••• J••• 2•• 2••• · Memberdirect · owns 25% to 50%
- T•• R•••••• T••• B•••• L••••• T••••• D•••• J•••••• 1•• 2••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- H•••• A••••••• G••••• L••real estaten
- L••••• C•••••• P•••••••• L••real estaten
- W••• F•••••••• G•••• I••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 7 | 0 | 0 | ||
| Germantown, Md | 4 | 1 | 0 | ||
| Kokomo, In | 3 | 0 | 0 | ||
| Erie, Pa | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Erie, PA3 employees
- Germantown, MD3 employees
- Carmel, IN1 employees
- Kokomo, IN1 employees
What changed
consecutive filings, newest first
- Accounts · 2,892 to 3,229Jan 6, 2026 to Feb 20, 2026
- Advisory employees · 11 to 13Jan 6, 2026 to Feb 20, 2026
- Charity clients · unset to 2.0Jan 6, 2026 to Feb 20, 2026
- Corporate clients · 8 to 10Jan 6, 2026 to Feb 20, 2026
- HNW clients · 922 to 1,012Jan 6, 2026 to Feb 20, 2026
- Individual clients · 281 to 335Jan 6, 2026 to Feb 20, 2026
- Assets in custody · $120M to $189MJan 6, 2026 to Feb 20, 2026
- Employees · 11 to 13Jan 6, 2026 to Feb 20, 2026
- State-registered IARs · 11 to 13Jan 6, 2026 to Feb 20, 2026
- Other offices · 4 to 5Jan 6, 2026 to Feb 20, 2026
- Discretionary RAUM · $546M to $691MJan 6, 2026 to Feb 20, 2026
- HNW RAUM · $224M to $264MJan 6, 2026 to Feb 20, 2026
- Individual RAUM · $320M to $425MJan 6, 2026 to Feb 20, 2026
- RAUM · $546M to $691MJan 6, 2026 to Feb 20, 2026
- Financial planning clients · 1-10 to 1-10Mar 19, 2025 to May 27, 2025
- Accounts · 2,750 to 2,892Oct 29, 2024 to Mar 19, 2025
- Advisory employees · 9 to 11Oct 29, 2024 to Mar 19, 2025
- Corporate clients · unset to 8.0Oct 29, 2024 to Mar 19, 2025
- HNW clients · 230 to 922Oct 29, 2024 to Mar 19, 2025
- Individual clients · 852 to 281Oct 29, 2024 to Mar 19, 2025
- Assets in custody · $110M to $120MOct 29, 2024 to Mar 19, 2025
- Employees · 9 to 11Oct 29, 2024 to Mar 19, 2025
- Financial planning clients · 11-25 to 1-10Oct 29, 2024 to Mar 19, 2025
- State-registered IARs · 9 to 11Oct 29, 2024 to Mar 19, 2025
- Discretionary RAUM · $446M to $546MOct 29, 2024 to Mar 19, 2025
- HNW RAUM · $234M to $224MOct 29, 2024 to Mar 19, 2025
- Individual RAUM · $211M to $320MOct 29, 2024 to Mar 19, 2025
- RAUM · $446M to $546MOct 29, 2024 to Mar 19, 2025
- Accounts · 2,579 to 2,750Jan 8, 2024 to Mar 19, 2024
- Advisory employees · 7 to 9Jan 8, 2024 to Mar 19, 2024
- Corporate clients · 6.0 to unsetJan 8, 2024 to Mar 19, 2024
- HNW clients · 197 to 230Jan 8, 2024 to Mar 19, 2024
- Individual clients · 884 to 852Jan 8, 2024 to Mar 19, 2024
- Assets in custody · unset to 110045867.0Jan 8, 2024 to Mar 19, 2024
- Custody of client assets · false to trueJan 8, 2024 to Mar 19, 2024
- Employees · 7 to 9Jan 8, 2024 to Mar 19, 2024
- Insurance-licensed employees · 5 to 4Jan 8, 2024 to Mar 19, 2024
- Financial planning clients · 1-10 to 11-25Jan 8, 2024 to Mar 19, 2024
- State-registered IARs · 7 to 9Jan 8, 2024 to Mar 19, 2024
- Other offices · 5 to 4Jan 8, 2024 to Mar 19, 2024
Signals
11 dated events
- D••••• J••• J•••••• left M•••••••• A•••• M••••••••• L•• for V•••• F•••••••• A•••••••• I••• (registered 2026-09-14)Aug 25, 2026 · Advisor changed firm · fact
- J•••• V•••••• M••••• left M•••••••• A•••• M••••••••• L•• for M••••• L•• (registered 2026-06-26)Jun 15, 2026 · Advisor changed firm · fact
- M•••••••• A•••• M••••••••• L•• reported RAUM $690.7M, up 26% from $546.3M (2026-01-06 to 2026-02-20)Feb 20, 2026 · RAUM change · derived
- P•••••• J•••• Pritchard (Chief Compliance Officer) no longer on Schedule A of M•••••••• A•••• M••••••••• L•• (listed 2023-04-11, absent 2023-12-12)Dec 12, 2023 · Control person left · inference
- A••• M•••• B••••••• left M•••••••• A•••• M••••••••• L•• for L•• F•••••••• L•• (registered 2024-04-17)Nov 28, 2023 · Advisor changed firm · fact
- P•••••• J•••• Pritchard (Chief Compliance Officer) appeared on Schedule A of M•••••••• A•••• M••••••••• L••Dec 8, 2022 · Control person joined · fact
- Christopher J••••• Iraci (Chief Compliance Officer) no longer on Schedule A of M•••••••• A•••• M••••••••• L•• (listed 2022-11-07, absent 2022-12-08)Dec 8, 2022 · Control person left · inference
- H••• L•• K•••••• left M•••••••• A•••• M••••••••• L•• for P•• W••••• M••••••••• (registered 2023-09-11)Mar 28, 2022 · Advisor changed firm · fact
- M•••••••• A•••• M••••••••• L•• reported RAUM $398.5M, up 56% from $255.4M (2021-07-14 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- P•••••• Shawn Lee (Member, Managing Partner) no longer on Schedule A of M•••••••• A•••• M••••••••• L•• (listed 2021-02-16, absent 2021-07-14)Jul 14, 2021 · Control person left · inference
- M•••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Sep 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
- Firm profile
- linkedin.com/company/west-advisory-groupreportedpublic record, Form ADV, Sep 19, 2026
- Website
- MilestoneAM.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 412-643-3058reportedpublic record, Form ADV, Feb 20, 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
- $62.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026