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
J••• E••••••••• L••
Latest filing May 6, 2026
First filing on the tape Jan 29, 2021 · 15 filings
SEC status approved since Mar 2, 2021
RAUM
$722M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$637M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$241M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$722M as of May 6, 2026
Mar 2, 2022$631M then
HNW client RAUM$601M as of May 6, 2026
Mar 2, 2022$567M then
State-registered IARs (5.B.3)3 as of May 6, 2026
Mar 2, 20225 then
Employees (5.A)5 as of May 6, 2026
Mar 2, 20228 then
Private funds: no history
RAUM -21% over the last fiscal year-5.4% a year over threeIARs 3 to 3
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $241MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $3.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -47%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $719MreportedItem 5.I
- Custody
- $4.1M, 15 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$601M83%
- Charitable organizations$82.0M11%
- Individuals$35.9M5.0%
- Pension and profit-sharing plans$3.2M0.4%
- Individual clients
- 86reported
- HNW clients
- 91reported
- Pension plan clients
- 3reported
- Charitable clients
- 3reported
- Accounts
- 183reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $4.1M for 15 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| R••••• C•••••• M•••••••Certified Financial Planner | Newtown, Pa | Mar 8, 2021 | 37 y | 2 |
| M••••• E•••••••• Z••••••Certified Financial Planner | Newtown, Pa | Mar 25, 2021 | 11 y | 1 |
| L• C••••• R••••• M••••••• | Newtown, Pa | Jul 1, 2021 | 10 y | 0 |
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 headcount2 left over 36 months
Left, latest
- J••• K•••••• W•••••••• to P• N••• F•••••••• S••••••• L••Apr 24, 2025 · RIA to a newly registered adviser
- M•••••• R•••••• S•••• to P• N••• F•••••••• S••••••• L••Apr 24, 2025 · RIA to a newly registered adviser
Joined, latest
- M••••• E•••••••• Z•••••• from W•••• F•••• A•••••••Mar 25, 2021 · WIREH•••• TO NEW FIRM
- M•••••• R•••••• S•••• from W•••• F•••• A•••••••Mar 25, 2021 · WIREH•••• TO NEW FIRM
- J••• K•••••• W•••••••• from W•••• F•••• A•••••••Mar 8, 2021 · WIREH•••• TO NEW FIRM
- R••••• C•••••• M••••••• from W•••• F•••• A•••••••Mar 8, 2021 · WIREH•••• TO NEW FIRM
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for P• N••• F•••••••• S••••••• L••Apr 24, 2025 · Newtown, Pa
- 2 joined from W•••• F•••• A•••••••Apr 29, 2021 · Miami Beach, Fl
- 2 joined from W•••• F•••• A•••••••Apr 29, 2021 · Newtown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• R•••••• C•••••• · Managing Principal And Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- W••••••••• J•••• K•••••• · Managing Principalcontrolsince 01/2021 · owns less than 5%
- M•••••••• R•••••• C•••••• · Presidentcontrolsince 03/2018 · owns 75% or more of B•••• H•••• A•••••••• I•••
- W••••••••• J•••• K•••••• · Presidentcontrolsince 02/2018 · owns 75% or more of S•••••• E••••••••• I•••
Entity owners
- B•••• H•••• A•••••••• I••• · Managing Memberdirect · owns 25% to 50%
- S•••••• E••••••••• I••• · Managing Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newtown, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 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 $918,779,505 to $722,428,889, advisors 3 to 3, private clients 337 to 177, offices 0 to 0 (2025-04-24 to 2026-03-24)peers: independent wealth managers, $500M to $1B (1,482)
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 1,141.0 to 183.0 (-84.0%) between the annual amendments of 2025-04-24 and 2026-03-24; the peer median change was +6.0% (1256 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.1% percentile
- client count collapseChange between filings · filing Mar 24, 2026individual and HNW clients (Item 5.D) moved from 337.0 to 177.0 (-47.0%) between the annual amendments of 2025-04-24 and 2026-03-24; the peer median change was +5.0% (1216 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 1.6% percentile
What changed
consecutive filings, newest first
- Accounts · 1,141 to 183Sep 24, 2025 to Mar 24, 2026
- HNW clients · 134 to 91Sep 24, 2025 to Mar 24, 2026
- Individual clients · 203 to 86Sep 24, 2025 to Mar 24, 2026
- Pension plan clients · 8 to 3Sep 24, 2025 to Mar 24, 2026
- Assets in custody · $37.4M to $4.1MSep 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $912M to $719MSep 24, 2025 to Mar 24, 2026
- HNW RAUM · $750M to $601MSep 24, 2025 to Mar 24, 2026
- Individual RAUM · $79.5M to $35.9MSep 24, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $6.7M to $3.2MSep 24, 2025 to Mar 24, 2026
- Pension RAUM · $16.0M to $3.2MSep 24, 2025 to Mar 24, 2026
- RAUM · $919M to $722MSep 24, 2025 to Mar 24, 2026
- Advisory employees · 5 to 3Feb 27, 2025 to Apr 24, 2025
- Financial planning clients · 101-250 to 101-250Feb 27, 2025 to Apr 24, 2025
- State-registered IARs · 5 to 3Feb 27, 2025 to Apr 24, 2025
- Accounts · 1,124 to 1,141Sep 27, 2024 to Feb 27, 2025
- Individual clients · 213 to 203Sep 27, 2024 to Feb 27, 2025
- Pension plan clients · 4 to 8Sep 27, 2024 to Feb 27, 2025
- Assets in custody · $0 to $37.4MSep 27, 2024 to Feb 27, 2025
- Discretionary RAUM · $858M to $912MSep 27, 2024 to Feb 27, 2025
- HNW RAUM · $703M to $750MSep 27, 2024 to Feb 27, 2025
- Individual RAUM · $68.4M to $79.5MSep 27, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $5.2M to $6.7MSep 27, 2024 to Feb 27, 2025
- Pension RAUM · $14.7M to $16.0MSep 27, 2024 to Feb 27, 2025
- RAUM · $863M to $919MSep 27, 2024 to Feb 27, 2025
- Accounts · 1,114 to 1,124Oct 20, 2023 to Mar 14, 2024
- HNW clients · 102 to 134Oct 20, 2023 to Mar 14, 2024
- Individual clients · 249 to 213Oct 20, 2023 to Mar 14, 2024
- Pension plan clients · 12 to 4Oct 20, 2023 to Mar 14, 2024
- Assets in custody · $14.7M to $0Oct 20, 2023 to Mar 14, 2024
- Other offices · 1 to 0Oct 20, 2023 to Mar 14, 2024
- Discretionary RAUM · $834M to $858MOct 20, 2023 to Mar 14, 2024
- HNW RAUM · $734M to $703MOct 20, 2023 to Mar 14, 2024
- Individual RAUM · $34.0M to $68.4MOct 20, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $19.8M to $5.2MOct 20, 2023 to Mar 14, 2024
- Pension RAUM · $39.9M to $14.7MOct 20, 2023 to Mar 14, 2024
- RAUM · $854M to $863MOct 20, 2023 to Mar 14, 2024
- Accounts · 1,034 to 1,114Sep 29, 2022 to Mar 28, 2023
- Charity clients · unset to 3.0Sep 29, 2022 to Mar 28, 2023
- Corporate clients · unset to 0.0Sep 29, 2022 to Mar 28, 2023
- HNW clients · 610 to 102Sep 29, 2022 to Mar 28, 2023
Signals
5 dated events
- J••• K•••••• W•••••••• left J••• E••••••••• L•• for P• N••• F•••••••• S••••••• L•• (registered 2025-01-10)Apr 24, 2025 · Advisor changed firm · fact
- M•••••• R•••••• S•••• left J••• E••••••••• L•• for P• N••• F•••••••• S••••••• L•• (registered 2025-01-06)Apr 24, 2025 · Advisor changed firm · fact
- 2 advisors left J••• E••••••••• L•• (Newtown, PA) for P• N••• F•••••••• S••••••• L•• on the same dayApr 24, 2025 · Team lift-out · derived
- J••• E••••••••• L•• reported RAUM $854.0M, up 35% from $631.0M (2022-09-29 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- J••• E••••••••• L•• filed its initial SEC registration (Form ADV)Jan 29, 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
- 215-860-1687reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 267-753-7066reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 866-318-9860reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- b•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 267-753-7066reportedpublic record, Form ADV, May 6, 2026
- Contact form
- b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- b•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $241Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026