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•••••• W••••• I•••••••••
Legal name Z•••• I••••••••• G••••• I•••
Latest filing Feb 23, 2026
First filing on the tape Nov 19, 2020 · 10 filings
SEC status approved since Dec 18, 2020
RAUM
$423M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$423M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$211M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$423M as of Feb 23, 2026
Mar 12, 2021$207M then
HNW client RAUM$320M as of Feb 23, 2026
Mar 12, 2021$89.0M then
State-registered IARs (5.B.3)2 as of Feb 23, 2026
Mar 12, 20212 then
Employees (5.A)3 as of Feb 23, 2026
Mar 12, 20212 then
Private funds: no history
RAUM +6.1% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 23, 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
- RAUM per advisor
- $211MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 235derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $307,837derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M76%
- Individuals$103M24%
- Individual clients
- 359reported
- HNW clients
- 110reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,374reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J••• G••••••• K••••• | Scranton, Pa | Dec 18, 2020 | 22 y | 3 |
| T•••• A•••• Z•••• | Scranton, Pa | Dec 23, 2020 | 25 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
- T•••• A•••• Z•••• from W•••••••Dec 23, 2020 · RIA to a newly registered adviser
- S••••• J••• G••••••• K••••• from W•••••••Dec 18, 2020 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• T••••• A•••• · Principalcontrolsince 04/2017 · owns 75% or more
- G••••••• K•••••• S•••••• J••• · Ccosince 11/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Scranton, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 23, 2026HNW share of RAUM moved from 49.0% to 76.0% between the annual amendments of 2025-02-13 and 2026-02-23peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,318 to 1,374May 15, 2025 to Feb 23, 2026
- HNW clients · 80 to 110May 15, 2025 to Feb 23, 2026
- Individual clients · 384 to 359May 15, 2025 to Feb 23, 2026
- Discretionary RAUM · $383M to $423MMay 15, 2025 to Feb 23, 2026
- HNW RAUM · $196M to $320MMay 15, 2025 to Feb 23, 2026
- Individual RAUM · $202M to $103MMay 15, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $15.3M to $0May 15, 2025 to Feb 23, 2026
- RAUM · $399M to $423MMay 15, 2025 to Feb 23, 2026
- Financial planning clients · 0 to 0Feb 13, 2025 to May 15, 2025
- Accounts · 1,396 to 1,318Mar 1, 2024 to Feb 13, 2025
- HNW clients · 88 to 80Mar 1, 2024 to Feb 13, 2025
- Individual clients · 399 to 384Mar 1, 2024 to Feb 13, 2025
- Discretionary RAUM · $315M to $383MMar 1, 2024 to Feb 13, 2025
- HNW RAUM · $232M to $196MMar 1, 2024 to Feb 13, 2025
- Individual RAUM · $96.5M to $202MMar 1, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $13.3M to $15.3MMar 1, 2024 to Feb 13, 2025
- RAUM · $328M to $399MMar 1, 2024 to Feb 13, 2025
- Accounts · 1,425 to 1,396Feb 3, 2023 to Mar 1, 2024
- HNW clients · 61 to 88Feb 3, 2023 to Mar 1, 2024
- Individual clients · 402 to 399Feb 3, 2023 to Mar 1, 2024
- Discretionary RAUM · $245M to $315MFeb 3, 2023 to Mar 1, 2024
- HNW RAUM · $154M to $232MFeb 3, 2023 to Mar 1, 2024
- Individual RAUM · $103M to $96.5MFeb 3, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $11.3M to $13.3MFeb 3, 2023 to Mar 1, 2024
- RAUM · $257M to $328MFeb 3, 2023 to Mar 1, 2024
- Accounts · 1,382 to 1,425Sep 12, 2022 to Feb 3, 2023
- HNW clients · 76 to 61Sep 12, 2022 to Feb 3, 2023
- Individual clients · 392 to 402Sep 12, 2022 to Feb 3, 2023
- Discretionary RAUM · $266M to $245MSep 12, 2022 to Feb 3, 2023
- HNW RAUM · $170M to $154MSep 12, 2022 to Feb 3, 2023
- Individual RAUM · $95.9M to $103MSep 12, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $0 to $11.3MSep 12, 2022 to Feb 3, 2023
- RAUM · $266M to $257MSep 12, 2022 to Feb 3, 2023
- Accounts · 1,327 to 1,382Mar 24, 2021 to Mar 1, 2022
- HNW clients · 55 to 76Mar 24, 2021 to Mar 1, 2022
- Individual clients · 346 to 392Mar 24, 2021 to Mar 1, 2022
- Employees · 2 to 3Mar 24, 2021 to Mar 1, 2022
- Discretionary RAUM · $207M to $266MMar 24, 2021 to Mar 1, 2022
- HNW RAUM · $89.0M to $170MMar 24, 2021 to Mar 1, 2022
- Individual RAUM · $118M to $95.9MMar 24, 2021 to Mar 1, 2022
Signals
1 dated events
- C•••••• W••••• I••••••••• filed its initial SEC registration (Form ADV)Nov 19, 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
- Business email
- sandi@capitalwealthinvestments.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-227-2821reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-543-5255reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 570-543-5256reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- capitalwealthinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 570-543-5255reportedpublic record, Form ADV, Feb 23, 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
- $211Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026