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
E•••• C•••••• M••••••••• I•••
Latest filing Apr 16, 2026
First filing on the tape Apr 28, 2025 · 8 filings
SEC status approved since Mar 26, 2025
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$155M as of Apr 16, 2026
Apr 28, 2025$129M then
HNW client RAUM$119M as of Apr 16, 2026
Apr 28, 2025$100.0M then
State-registered IARs (5.B.3)4 as of Apr 16, 2026
Apr 28, 20253 then
Employees (5.A)4 as of Apr 16, 2026
Apr 28, 20253 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Apr 16, 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
- $38.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $335,598derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +20%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $107M, 139 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)
- 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$119M76%
- Individuals$36.6M24%
- Individual clients
- 85reported
- HNW clients
- 96reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 463reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 139 clientsreported
- Compensation
- % of AUM, 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J••••• T•••Certified Financial Planner | Newtown, Pa | May 17, 2021 | 31 y | 8 |
| G•••••• M•••••• L•••••••••Certified Financial Planner | Princeton, Nj | Feb 7, 2022 | 15 y | 0 |
| S••• M•••••• C•••••Certified Financial Planner | Newtown, Pa | Nov 14, 2024 | 24 y | 0 |
| E•••• V••••••• T••• | Newtown, Pa | Sep 16, 2025 | 11 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S••••• J••••• T••• from A• W••••• M••••••••• L••May 17, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• N•••••• H•••••••• · Membercontrolsince 02/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Newtown, Pa · principal | 4 | 0 | 0 | ||
| Princeton, Nj | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 429 to 463Jan 29, 2026 to Mar 30, 2026
- HNW clients · 72 to 96Jan 29, 2026 to Mar 30, 2026
- Individual clients · 79 to 85Jan 29, 2026 to Mar 30, 2026
- Assets in custody · $81.9M to $107MJan 29, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 101-250Jan 29, 2026 to Mar 30, 2026
- State-registered IARs · 3 to 4Jan 29, 2026 to Mar 30, 2026
- Other offices · 1 to 2Jan 29, 2026 to Mar 30, 2026
- Discretionary RAUM · $129M to $155MJan 29, 2026 to Mar 30, 2026
- HNW RAUM · $100.0M to $119MJan 29, 2026 to Mar 30, 2026
- Individual RAUM · $29.2M to $36.6MJan 29, 2026 to Mar 30, 2026
- RAUM · $129M to $155MJan 29, 2026 to Mar 30, 2026
- Other offices · 2 to 1Oct 30, 2025 to Jan 29, 2026
- Advisory employees · 3 to 4Aug 11, 2025 to Oct 30, 2025
- Employees · 3 to 4Aug 11, 2025 to Oct 30, 2025
- Financial planning clients · 0 to 0Aug 11, 2025 to Oct 30, 2025
Signals
No event on the tape.
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
- contact@ethoscapitalmgt.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-968-1820reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-336-3023reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ethoscapitalmgt.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 215-968-1820reportedpublic record, Form ADV, Apr 16, 2026
- Contact form
- ethoscapitalmgt.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- ethoscapitalmgt.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $38.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026