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
C•••••••• C••••••
Legal name C•••••••• C•••••• B••••• L••
Latest filing Jun 29, 2026
First filing on the tape Apr 19, 2023 · 13 filings
SEC status approved since May 23, 2023
RAUM
$179M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.7M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$179M as of Jun 29, 2026
Mar 28, 2024$122M then
HNW client RAUM$171M as of Jun 29, 2026
Mar 28, 2024$118M then
State-registered IARs (5.B.3)2 as of Jun 29, 2026
Mar 28, 20242 then
Employees (5.A)3 as of Jun 29, 2026
Mar 28, 20242 then
Private funds: no history
RAUM +20% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 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
- RAUM per advisor
- $89.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $391,848derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 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
- +22%derived
- Compensation
- percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M96%
- Individuals$7.4M4.1%
- Corporations and businesses$563,5160.3%
- Individual clients
- 35reported
- HNW clients
- 64reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 458reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• M• S••••• | Yardley, Pa | May 23, 2023 | 22 y | 1 |
| A•••••••• M•••••• P•••Certified Financial Planner | Yardley, Pa | May 23, 2023 | 14 y | 1 |
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
- T•••• M• S••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 23, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- A•••••••• M•••••• P••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 23, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 25, 2023 · Newtown, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• C••••••••• G••••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- P•••• A••••••••• M• · Founder / Wealth Strategistcontrolsince 03/2023 · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Yardley, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 323 to 458Jan 6, 2026 to Mar 21, 2026
- Advisory activities · 7 to 6Jan 6, 2026 to Mar 21, 2026
- HNW clients · 59 to 64Jan 6, 2026 to Mar 21, 2026
- Individual clients · 22 to 35Jan 6, 2026 to Mar 21, 2026
- Employees · 2 to 3Jan 6, 2026 to Mar 21, 2026
- Financial planning clients · 0 to 1-10Jan 6, 2026 to Mar 21, 2026
- Discretionary RAUM · $134M to $161MJan 6, 2026 to Mar 21, 2026
- HNW RAUM · $144M to $171MJan 6, 2026 to Mar 21, 2026
- Individual RAUM · $5.3M to $7.4MJan 6, 2026 to Mar 21, 2026
- Non-discretionary RAUM · $16.6M to $18.3MJan 6, 2026 to Mar 21, 2026
- RAUM · $150M to $179MJan 6, 2026 to Mar 21, 2026
- Accounts · 258 to 323Sep 19, 2024 to Mar 31, 2025
- HNW clients · 227 to 59Sep 19, 2024 to Mar 31, 2025
- Individual clients · 28 to 22Sep 19, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Sep 19, 2024 to Mar 31, 2025
- Discretionary RAUM · $106M to $134MSep 19, 2024 to Mar 31, 2025
- HNW RAUM · $118M to $144MSep 19, 2024 to Mar 31, 2025
- Individual RAUM · $2.8M to $5.3MSep 19, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $16.5M to $16.6MSep 19, 2024 to Mar 31, 2025
- RAUM · $122M to $150MSep 19, 2024 to Mar 31, 2025
- Accounts · 226 to 258Sep 19, 2023 to Mar 28, 2024
- Corporate clients · 6.0 to unsetSep 19, 2023 to Mar 28, 2024
- HNW clients · 185 to 227Sep 19, 2023 to Mar 28, 2024
- Individual clients · 35 to 28Sep 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $87.1M to $106MSep 19, 2023 to Mar 28, 2024
- HNW RAUM · $87.7M to $118MSep 19, 2023 to Mar 28, 2024
- Individual RAUM · $3.4M to $2.8MSep 19, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $14.2M to $16.5MSep 19, 2023 to Mar 28, 2024
- RAUM · $101M to $122MSep 19, 2023 to Mar 28, 2024
- Accounts · 0 to 226Aug 3, 2023 to Sep 19, 2023
- Advisory activities · 6 to 7Aug 3, 2023 to Sep 19, 2023
- Corporate clients · unset to 6.0Aug 3, 2023 to Sep 19, 2023
- HNW clients · unset to 185.0Aug 3, 2023 to Sep 19, 2023
- Individual clients · unset to 35.0Aug 3, 2023 to Sep 19, 2023
- Discretionary RAUM · $0 to $87.1MAug 3, 2023 to Sep 19, 2023
- HNW RAUM · unset to 87713193.0Aug 3, 2023 to Sep 19, 2023
- Individual RAUM · unset to 3353979.0Aug 3, 2023 to Sep 19, 2023
- Non-discretionary RAUM · $0 to $14.2MAug 3, 2023 to Sep 19, 2023
- RAUM · $0 to $101MAug 3, 2023 to Sep 19, 2023
- Business name · C•••••••• C•••••• L•• to C•••••••• C••••••May 23, 2023 to Aug 3, 2023
Signals
6 dated events
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of C•••••••• C•••••• (listed 2023-08-03, absent 2023-09-19)Sep 19, 2023 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of C•••••••• C••••••Sep 19, 2023 · Control person joined · fact
- 2 advisors left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (Newtown, PA) for C•••••••• C•••••• a day apartMay 25, 2023 · Team lift-out · derived
- Nicholas Stathes (Owner) no longer on Schedule A of C•••••••• C•••••• (listed 2023-04-19, absent 2023-05-23)May 23, 2023 · Control person left · inference
- M. A•••••••• P••• (Founder / Wealth Strategist) appeared on Schedule A of C•••••••• C••••••May 23, 2023 · Control person joined · fact
- C•••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Apr 19, 2023 · 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
- info@crosscapadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 215-396-5517reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/crossover-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- CROSSCAPADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 215-396-5580reportedpublic record, Form ADV, Jun 29, 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
- $89.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026