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
P••••••• I••••••••• A•••••••
Legal name P••••••• I••••••••• A••••••• L••
Latest filing Mar 5, 2026
First filing on the tape Aug 8, 2022 · 9 filings
SEC status approved since Sep 8, 2022
RAUM
$1.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.7B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$241M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.7B as of Mar 5, 2026
Jan 3, 2023$882M then
HNW client RAUM$1.6B as of Mar 5, 2026
Jan 3, 2023$773M then
State-registered IARs (5.B.3)6 as of Mar 5, 2026
Jan 3, 20234 then
Employees (5.A)10 as of Mar 5, 2026
Jan 3, 20237 then
Private funds: no history
RAUM +20% over the last fiscal year+24% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 5, 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
- 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
- 76derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $1.7BreportedItem 5.I
- Custody
- $139M, 37 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$1.6B95%
- Individuals$74.4M4.4%
- Pension and profit-sharing plans$13.5M0.8%
- Charitable organizations$2.3M0.1%
- Corporations and businesses$757,6480.0%
- Individual clients
- 229reported
- HNW clients
- 301reported
- Pension plan clients
- 5reported
- Charitable clients
- 0reported
- Accounts
- 1,547reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $139M for 37 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• D••••••• C••••••Certified Financial Planner | Warrendale, Pa | Dec 2, 2022 | 12 y | 1 |
| C•••••• W•••••• P•••••••Chartered Financial Analyst | Warrendale, Pa | Dec 2, 2022 | 14 y | 1 |
| C•••••••• S••• P•••••••Chartered Financial Analyst | Warrendale, Pa | Dec 2, 2022 | 11 y | 1 |
| C•••••• J••• P••••••• | Warrendale, Pa | Dec 2, 2022 | 43 y | 1 |
| A••••• I•••• M••••••Certified Financial Planner | Warrendale, Pa | Jan 19, 2023 | 12 y | 0 |
| E••• M•••••• F•••••Chartered Financial Analyst | Warrendale, Pa | Aug 21, 2024 | 11 y | 0 |
| A•••••• J••••• P••••••• | Warrendale, Pa | Jan 28, 2026 | 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
- C•••••• W•••••• P••••••• from W•••• F•••• A•••••••Dec 2, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• S••• P••••••• from W•••• F•••• A•••••••Dec 2, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••••••• D••••••• C•••••• from W•••• F•••• A•••••••Dec 2, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••• J••• P••••••• from W•••• F•••• A•••••••Dec 2, 2022 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from W•••• F•••• A•••••••Dec 7, 2022 · Sewickley, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• A••••••••• D••••••• · Member/Principalcontrolsince 08/2022 · owns 10% to 25%
- M••••••• A•••••• I•••• · Member/Principalcontrolsince 08/2022 · owns 10% to 25%
- P•••••••• C••••••• J••• · Member/Founding Prinicpalcontrolsince 08/2022 · owns less than 5%
- P•••••••• C••••••• W•••••• · Chief Compliance Officer, Member, Principalcontrolsince 08/2022 · owns 10% to 25%
- P•••••••• C••••••••• S••• · Member/Principalcontrolsince 08/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Warrendale, Pa · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,499 to 1,547Oct 16, 2025 to Mar 5, 2026
- Charity clients · 6 to 0Oct 16, 2025 to Mar 5, 2026
- HNW clients · 291 to 301Oct 16, 2025 to Mar 5, 2026
- Individual clients · 231 to 229Oct 16, 2025 to Mar 5, 2026
- Assets in custody · $100M to $139MOct 16, 2025 to Mar 5, 2026
- Employees · 9 to 10Oct 16, 2025 to Mar 5, 2026
- Discretionary RAUM · $1.4B to $1.7BOct 16, 2025 to Mar 5, 2026
- HNW RAUM · $1.3B to $1.6BOct 16, 2025 to Mar 5, 2026
- Individual RAUM · $74.3M to $74.4MOct 16, 2025 to Mar 5, 2026
- Pension RAUM · $10.7M to $13.5MOct 16, 2025 to Mar 5, 2026
- RAUM · $1.4B to $1.7BOct 16, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 0Mar 11, 2025 to Oct 16, 2025
- Accounts · 1,429 to 1,499May 16, 2024 to Mar 11, 2025
- Advisory employees · 5 to 6May 16, 2024 to Mar 11, 2025
- Advisory activities · 4 to 3May 16, 2024 to Mar 11, 2025
- Charity clients · 5 to 6May 16, 2024 to Mar 11, 2025
- HNW clients · 262 to 291May 16, 2024 to Mar 11, 2025
- Individual clients · 242 to 231May 16, 2024 to Mar 11, 2025
- Assets in custody · $70.4M to $100MMay 16, 2024 to Mar 11, 2025
- Employees · 7 to 9May 16, 2024 to Mar 11, 2025
- State-registered IARs · 5 to 6May 16, 2024 to Mar 11, 2025
- Discretionary RAUM · $1.1B to $1.4BMay 16, 2024 to Mar 11, 2025
- HNW RAUM · $1.0B to $1.3BMay 16, 2024 to Mar 11, 2025
- Individual RAUM · $77.3M to $74.3MMay 16, 2024 to Mar 11, 2025
- Pension RAUM · $8.1M to $10.7MMay 16, 2024 to Mar 11, 2025
- RAUM · $1.1B to $1.4BMay 16, 2024 to Mar 11, 2025
- Accounts · 1,319 to 1,429Nov 16, 2023 to Mar 22, 2024
- Advisory employees · 4 to 5Nov 16, 2023 to Mar 22, 2024
- Charity clients · unset to 5.0Nov 16, 2023 to Mar 22, 2024
- HNW clients · 220 to 262Nov 16, 2023 to Mar 22, 2024
- Individual clients · 251 to 242Nov 16, 2023 to Mar 22, 2024
- Pension plan clients · unset to 5.0Nov 16, 2023 to Mar 22, 2024
- Assets in custody · $49.4M to $70.4MNov 16, 2023 to Mar 22, 2024
- State-registered IARs · 4 to 5Nov 16, 2023 to Mar 22, 2024
- Discretionary RAUM · $882M to $1.1BNov 16, 2023 to Mar 22, 2024
- HNW RAUM · $773M to $1.0BNov 16, 2023 to Mar 22, 2024
- Individual RAUM · $86.7M to $77.3MNov 16, 2023 to Mar 22, 2024
- Pension RAUM · $5.8M to $8.1MNov 16, 2023 to Mar 22, 2024
- RAUM · $882M to $1.1BNov 16, 2023 to Mar 22, 2024
- Accounts · 0 to 1,319Nov 15, 2022 to Jan 3, 2023
Signals
4 dated events
- P••••••• I••••••••• A••••••• reported RAUM $1.4B, up 26% from $1.1B (2024-05-16 to 2025-03-11)Mar 11, 2025 · RAUM change · derived
- P••••••• I••••••••• A••••••• reported RAUM $1.1B, up 26% from $881.9M (2023-11-16 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- 4 advisors left W•••• F•••• A••••••• (Sewickley, PA) for P••••••• I••••••••• A••••••• on the same dayDec 7, 2022 · Team lift-out · derived
- P••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Aug 8, 2022 · 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
- i•••@p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 878-231-4300reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 878-231-4300reportedpublic record, Form ADV, Mar 5, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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