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
C•• P••• A•••••••• I•••
Latest filing Mar 31, 2026
First filing on the tape Oct 28, 2020 · 8 filings
SEC status approved since Nov 27, 2020
RAUM
$261M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
2
2 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$261M as of Mar 31, 2026
Mar 2, 2021$134M then
HNW client RAUM: $0
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Mar 2, 20212 then
Employees (5.A)2 as of Mar 31, 2026
Mar 2, 20212 then
Private funds: no history
RAUM +24% over the last fiscal year+10% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- retirement p••• adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $9.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$261M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 29reported
- Charitable clients
- 0reported
- Accounts
- 29reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• A••• P••••• | Frazer, Pa | Feb 16, 2021 | 13 y | 3 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
- D•••••• A••• P••••• from C••••••••• F•••••••• N••••••Feb 16, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••••••• F•••••••• N••••••Dec 18, 2020 · Frazer, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• D••••••• A••• · Vice Presidentcontrolsince 10/2020 · owns less than 5%
- P•••••• V••••• B•••••• · President & Ccocontrolsince 10/2020 · owns 75% or more
Related persons
Schedule D 7.A
- C•• W••••• A•••••••• I•••investment advisernRAUM $129M
- T•• C•••••••• G••••• I•••real estaten
Advisers that list C•• P••• A•••••••• I••• as a related person
- 311273 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Frazer, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $100M to $500M (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 27 to 29Apr 1, 2025 to Mar 31, 2026
- Charity clients · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Corporate clients · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- HNW clients · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Individual clients · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Pension plan clients · 28 to 29Apr 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Financial planning clients · 0 to Apr 1, 2025 to Mar 31, 2026
- HNW RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Individual RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $211M to $261MApr 1, 2025 to Mar 31, 2026
- Pension RAUM · $211M to $261MApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · unset to 0.0Apr 1, 2025 to Mar 31, 2026
- RAUM · $211M to $261MApr 1, 2025 to Mar 31, 2026
- Accounts · 28 to 27Mar 27, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $204M to $211MMar 27, 2024 to Apr 1, 2025
- Pension RAUM · $204M to $211MMar 27, 2024 to Apr 1, 2025
- RAUM · $204M to $211MMar 27, 2024 to Apr 1, 2025
- Accounts · 26 to 28Mar 31, 2023 to Mar 27, 2024
- Pension plan clients · 26 to 28Mar 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $194M to $204MMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $194M to $204MMar 31, 2023 to Mar 27, 2024
- RAUM · $194M to $204MMar 31, 2023 to Mar 27, 2024
- Accounts · 21 to 26Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 21 to 26Mar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $207M to $194MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $207M to $194MMar 31, 2022 to Mar 31, 2023
- RAUM · $207M to $194MMar 31, 2022 to Mar 31, 2023
- Accounts · 19 to 21Mar 2, 2021 to Mar 31, 2022
- Advisory activities · 2 to 3Mar 2, 2021 to Mar 31, 2022
- Pension plan clients · 19 to 21Mar 2, 2021 to Mar 31, 2022
- Insurance-licensed employees · 1 to 0Mar 2, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $134M to $207MMar 2, 2021 to Mar 31, 2022
- Pension RAUM · $134M to $207MMar 2, 2021 to Mar 31, 2022
- RAUM · $134M to $207MMar 2, 2021 to Mar 31, 2022
- Accounts · 0 to 19Dec 2, 2020 to Mar 2, 2021
- Advisory activities · 3 to 2Dec 2, 2020 to Mar 2, 2021
- HNW clients · 0.0 to unsetDec 2, 2020 to Mar 2, 2021
- Individual clients · 0.0 to unsetDec 2, 2020 to Mar 2, 2021
Signals
1 dated events
- C•• P••• A•••••••• I••• filed its initial SEC registration (Form ADV)Oct 28, 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
- Website
- cgiadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-854-1420reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026