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

S•••••• W••••• A••••••• L••

Independent wealth managerCRD 327645SEC 801-135217websiteIAPD
Latest filing Jul 16, 2026
First filing on the tape Jan 20, 2026 · 4 filings
SEC status approved since Jan 21, 2026
RAUM
$103M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$101M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$25.9M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$103M as of Jul 16, 2026
Jan 20, 2026$103M then
HNW client RAUM$36.9M as of Jul 16, 2026
Jan 20, 2026$32.3M then
State-registered IARs (5.B.3)3 as of Jul 16, 2026
Jan 20, 20263 then
Employees (5.A)5 as of Jul 16, 2026
Jan 20, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 16, 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$25.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
100derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$801,218derivedHNW RAUM over HNW clients
Average account
$145,514derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
1.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$64.0M62%
  • High-net-worth individuals$36.9M36%
  • Investment companies$2.6M2.6%
Individual clients
354reported
HNW clients
46reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
711reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.03 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
NameBranchHere sinceIn industryPrior firms
A•••• R••• T••••••Wilmington, Nc Jul 31, 202314 y1
A•••••• M•••• K•••••Chartered Financial ConsultantPlano, Tx Apr 5, 202412 y0
J••••• L••• J••••••Chartered Financial ConsultantMechanicsburg, PaOct 18, 202414 y1
M•••••• L• C••Mechanicsburg, PaJun 18, 202511 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• J•••••• L••• · Owner/ Financial Advisorcontrol
      since 03/2026 · owns 75% or more
    • T••••••• A••••• R••• · Ceocontrol
      since 07/2023 · owns 5% to 10%
    • K•••••• A••••••• M•••• · Chief Operations Officer And Chief Compliance Officer
      since 02/2024 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Mechanicsburg, Pa400
    Plano, Tx200
    Wilmington, Nc200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • HQ city · WILMINGTON to
      Mar 19, 2026 to Jul 16, 2026
    • HQ state · NC to
      Mar 19, 2026 to Jul 16, 2026
    • Employees · 6 to 5
      Feb 4, 2026 to Mar 19, 2026
    • Accounts · 693 to 711
      Jan 20, 2026 to Feb 4, 2026
    • HNW clients · 23 to 46
      Jan 20, 2026 to Feb 4, 2026
    • Individual clients · 404 to 354
      Jan 20, 2026 to Feb 4, 2026
    • Employees · 5 to 6
      Jan 20, 2026 to Feb 4, 2026
    • Discretionary RAUM · $100M to $101M
      Jan 20, 2026 to Feb 4, 2026
    • HNW RAUM · $32.3M to $36.9M
      Jan 20, 2026 to Feb 4, 2026
    • Individual RAUM · $67.8M to $64.0M
      Jan 20, 2026 to Feb 4, 2026
    • Non-discretionary RAUM · $2.5M to $2.6M
      Jan 20, 2026 to Feb 4, 2026
    • RAUM · $103M to $103M
      Jan 20, 2026 to Feb 4, 2026
    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
    Website
    seasidewealthadvisors.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    717-816-8024reportedpublic record, Form ADV, Jul 16, 2026
    Team page
    seasidewealthadvisors.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
    $25.9Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026