DFX Intelligence

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L•••••• O•• W••••• A•••••••

Independent wealth managerSEC-registered· Philadelphia, Pennsylvaniawebsite

Independent wealth manager, based in Philadelphia, Pennsylvania, reporting $178M of regulatory assets across 5 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $178M
Advisors: 5
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +38%
Private clients: 99% of RAUM, $177M

Advisors (5)Advisor movement Where the RAUM sits

As of 2026-07-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +38% over the last fiscal year, to $178M.
2026-07-30
RAUM a year earlier $129MRAUM now $178M
RAUM (Item 5.F) moved from $129,464,252 to $178,357,037 (+38.0%) between the annual amendments of 2025-02-10 and 2026-01-30; the peer median change was +15.0% (4548 comparable advisers, 92.0th percentile of changes)
2026-01-30
RAUM (Item 5.F) 178357037Peer median 0.152187099898764
7 published business contact points are on record, each with its source.
Contact points 7

Every filed figure, and the identifiersCRD 315675 · SEC 801-130016 · 8 filingsShow

CRD 315675SEC 801-130016First filing on the tape Mar 26, 2024, latest Jul 30, 2026SEC status approved since Apr 25, 2024IAPD

RAUM

$178M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$177M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$35.7M

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM$178M as of Jul 30, 2026

Feb 10, 2025$129M then

HNW client RAUM$72.0M as of Jul 30, 2026

Feb 10, 2025$51.7M then

State-registered IARs (5.B.3)5 as of Jul 30, 2026

Feb 10, 20254 then

Employees (5.A)5 as of Jul 30, 2026

Feb 10, 20254 then

Private funds: no history

RAUM +38% over the last fiscal yearIARs 4 to 5

Practice profile

derived from the filing of Jul 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: $35.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $214,371derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +38%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +15%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$105M59%
High-net-worth individuals$72.0M40%
Charitable organizations$990,4160.6%
Pension and profit-sharing plans$751,5650.4%
Corporations and businesses$92,2440.1%

Individual clients: 210reported
HNW clients: 26reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 832reported
Financial planning clients: 251-500reported
Wrap fee programs: $0 sponsored, $177M managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

5 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• L•••• P•••••••••Certified Financial Planner	Philadelphia, Pa	Sep 12, 2021	12 y	1
G•••••• D•••••••••Certified Financial Planner	Philadelphia, Pa	Sep 12, 2021	13 y	1
F•• F•••Certified Financial Planner	Philadelphia, Pa	Sep 12, 2021	13 y	2
C••••••••• R•••••• K••••Certified Financial Planner	Philadelphia, Pa	Feb 18, 2022	10 y	1
P••• Z••••••••	Philadelphia, Pa	Jan 16, 2026	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

C••••••••• R•••••• K•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Feb 18, 2022 · Wirehouse to independent RIA
J•••• L•••• P••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 12, 2021 · Wirehouse to independent RIA
G•••••• D••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 12, 2021 · Wirehouse to independent RIA
F•• F••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 12, 2021 · Wirehouse to independent RIA

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 13, 2021 · Philadelphia, Pa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D••••••••• G•••••• · Cco / Founding Partnercontrol
since 06/2021 · owns 25% to 50%
P••••••••• J••••• L•••• · Founding Partnercontrol
since 06/2021 · owns 25% to 50%
F•••• F•• · Founding Partner
since 06/2021 · owns 10% to 25%

Related persons

Schedule D 7.A

L•••••• O•• P•••••• R•••
real estaten

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Philadelphia, Pa · principal	5	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Jan 30, 2026
RAUM (Item 5.F) moved from $129,464,252 to $178,357,037 (+38.0%) between the annual amendments of 2025-02-10 and 2026-01-30; the peer median change was +15.0% (4548 comparable advisers, 92.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (4,548) · 92% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 700 to 832
Nov 10, 2025 to Jan 30, 2026
Advisory employees · 4 to 5
Nov 10, 2025 to Jan 30, 2026
HNW clients · 25 to 26
Nov 10, 2025 to Jan 30, 2026
Individual clients · 180 to 210
Nov 10, 2025 to Jan 30, 2026
Employees · 4 to 5
Nov 10, 2025 to Jan 30, 2026
Financial planning clients · 101-250 to 251-500
Nov 10, 2025 to Jan 30, 2026
State-registered IARs · 4 to 5
Nov 10, 2025 to Jan 30, 2026
Discretionary RAUM · $129M to $178M
Nov 10, 2025 to Jan 30, 2026
HNW RAUM · $51.7M to $72.0M
Nov 10, 2025 to Jan 30, 2026
Individual RAUM · $76.8M to $105M
Nov 10, 2025 to Jan 30, 2026
Pension RAUM · $0 to $751,565
Nov 10, 2025 to Jan 30, 2026
RAUM · $129M to $178M
Nov 10, 2025 to Jan 30, 2026
Wrap assets (manager) · $129M to $177M
Nov 10, 2025 to Jan 30, 2026
Financial planning clients · 101-250 to 101-250
Feb 10, 2025 to Jul 1, 2025
Accounts · 620 to 700
May 1, 2024 to Feb 10, 2025
HNW clients · 18 to 25
May 1, 2024 to Feb 10, 2025
Individual clients · 169 to 180
May 1, 2024 to Feb 10, 2025
Discretionary RAUM · $105M to $129M
May 1, 2024 to Feb 10, 2025
HNW RAUM · $32.4M to $51.7M
May 1, 2024 to Feb 10, 2025
Individual RAUM · $71.3M to $76.8M
May 1, 2024 to Feb 10, 2025
RAUM · $105M to $129M
May 1, 2024 to Feb 10, 2025
Wrap assets (manager) · $99.5M to $129M
May 1, 2024 to Feb 10, 2025

Signals

1 dated events

••• Locked
Mar 26, 2024 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jul 30, 2026
Team page: ••• Lockedreportedpublished 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: $35.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026