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
O•••••• G••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Jun 14, 2021 · 8 filings
SEC status approved since Jul 15, 2021
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
10
10 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$1.2B as of Mar 30, 2026
Mar 18, 2022$612M then
HNW client RAUM$1.1B as of Mar 30, 2026
Mar 18, 2022$395M then
State-registered IARs (5.B.3)10 as of Mar 30, 2026
Mar 18, 20228 then
Employees (5.A)10 as of Mar 30, 2026
Mar 18, 202210 then
Private funds: no history
RAUM +22% over the last fiscal year+31% a year over threeIARs 8 to 10offices 1 to 2
Practice profile
derived from the filing of Mar 30, 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
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $780,552derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -32%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $1.2B, 900 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B90%
- Individuals$122M9.7%
- Individual clients
- 506reported
- HNW clients
- 394reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,601reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 900 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• J•••• R••••••• | Morris, Il | Sep 30, 2021 | 39 y | 4 |
| J••• C•••••• F•••••• | Bethlehem, Pa | Sep 30, 2021 | 39 y | 3 |
| G•••••• H•••••• | Bethlehem, Pa | Sep 30, 2021 | 37 y | 2 |
| P•••••• J••••• B•••• | Bethlehem, Pa | Sep 30, 2021 | 45 y | 3 |
| A••••• M•••• C••••• | Bethlehem, Pa | Oct 1, 2021 | 16 y | 3 |
| J••• J••••• O•••••• | Bethlehem, Pa | Oct 1, 2021 | 38 y | 6 |
| D••• V••••• S•••• | Bethlehem, Pa | Jan 14, 2022 | 19 y | 2 |
| B••••• Z••• H•••••• | Bethlehem, Pa | Jan 24, 2022 | 11 y | 0 |
| G•••••• E••••• K••••• | Bethlehem, Pa | Apr 1, 2025 | 12 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
- D••• V••••• S•••• from A•••• P•••• A•••••••Jan 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• M•••• C••••• from A•••• P•••• A•••••••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• J••••• O•••••• from A•••• P•••• A•••••••Oct 1, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• C•••••• F•••••• from A•••• P•••• A•••••••Sep 30, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- G•••••• H•••••• from A•••• P•••• A•••••••Sep 30, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- F••••••• J•••• R••••••• from A•••• P•••• A•••••••Sep 30, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- P•••••• J••••• B•••• from A•••• P•••• A•••••••Sep 30, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from A•••• P•••• A•••••••Sep 30, 2021 · Bethlehem, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• J•••• J••••• · Presidentcontrolsince 12/2010 · owns 75% or more
- R•••••••• F•••••••• J•••• · Chief Compliance Officercontrolsince 06/2021 · 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 |
|---|---|---|---|---|---|
| Bethlehem, Pa · principal | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Morris, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 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 $1,021,872,212 to $1,249,663,330, advisors 8 to 10, private clients 1328 to 900, offices 1 to 2 (2025-03-26 to 2026-03-30)peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,422 to 1,601Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 8 to 10Mar 26, 2025 to Mar 30, 2026
- HNW clients · 356 to 394Mar 26, 2025 to Mar 30, 2026
- Individual clients · 972 to 506Mar 26, 2025 to Mar 30, 2026
- Assets in custody · $39.3M to $1.2BMar 26, 2025 to Mar 30, 2026
- Employees · 11 to 10Mar 26, 2025 to Mar 30, 2026
- State-registered IARs · 8 to 10Mar 26, 2025 to Mar 30, 2026
- Other offices · 1 to 2Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.0B to $1.2BMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $925M to $1.1BMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $96.6M to $122MMar 26, 2025 to Mar 30, 2026
- RAUM · $1.0B to $1.2BMar 26, 2025 to Mar 30, 2026
- Accounts · 1,189 to 1,422Mar 28, 2024 to Mar 26, 2025
- BD registered reps · 2 to 3Mar 28, 2024 to Mar 26, 2025
- HNW clients · 309 to 356Mar 28, 2024 to Mar 26, 2025
- Individual clients · 317 to 972Mar 28, 2024 to Mar 26, 2025
- Employees · 8 to 11Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $808M to $1.0BMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $707M to $925MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $100M to $96.6MMar 28, 2024 to Mar 26, 2025
- RAUM · $808M to $1.0BMar 28, 2024 to Mar 26, 2025
- Accounts · 1,027 to 1,189Mar 20, 2023 to Mar 28, 2024
- HNW clients · 222 to 309Mar 20, 2023 to Mar 28, 2024
- Individual clients · 561 to 317Mar 20, 2023 to Mar 28, 2024
- Assets in custody · $559M to $39.3MMar 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $559M to $808MMar 20, 2023 to Mar 28, 2024
- HNW RAUM · $444M to $707MMar 20, 2023 to Mar 28, 2024
- Individual RAUM · $115M to $100MMar 20, 2023 to Mar 28, 2024
- RAUM · $559M to $808MMar 20, 2023 to Mar 28, 2024
- Accounts · 885 to 1,027Mar 18, 2022 to Mar 20, 2023
- Charity clients · unset to 0.0Mar 18, 2022 to Mar 20, 2023
- Corporate clients · unset to 0.0Mar 18, 2022 to Mar 20, 2023
- HNW clients · 730 to 222Mar 18, 2022 to Mar 20, 2023
- Individual clients · 155 to 561Mar 18, 2022 to Mar 20, 2023
- Pension plan clients · unset to 0.0Mar 18, 2022 to Mar 20, 2023
- Pooled vehicle clients · unset to 0.0Mar 18, 2022 to Mar 20, 2023
- Assets in custody · $612M to $559MMar 18, 2022 to Mar 20, 2023
- Employees · 10 to 8Mar 18, 2022 to Mar 20, 2023
- Discretionary RAUM · $612M to $559MMar 18, 2022 to Mar 20, 2023
Signals
3 dated events
- O•••••• G••••• I••• reported RAUM $1.0B, up 27% from $807.7M (2024-03-28 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- O•••••• G••••• I••• reported RAUM $807.7M, up 44% from $559.3M (2023-03-20 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- O•••••• G••••• I••• filed its initial SEC registration (Form ADV)Jun 14, 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
- 610-625-8855reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 720-800-0777reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 815-942-9198reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- t•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-625-8855reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- t•••••••••.netreportedpublished 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026