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
N•••••••• A•••• M••••••••• C••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Jan 19, 2024 · 4 filings
SEC status approved since Feb 16, 2024
RAUM
$660M
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
100%
$660M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$330M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$660M as of Mar 27, 2026
Mar 27, 2024$568M then
HNW client RAUM$634M as of Mar 27, 2026
Mar 27, 2024$547M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 27, 20242 then
Employees (5.A)6 as of Mar 27, 2026
Mar 27, 20246 then
Private funds: no history
RAUM +6.9% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- $330MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$634M96%
- Individuals$26.3M4.0%
- Individual clients
- 62reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 379reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G••••• C••••• | Blue Bell, Pa | Feb 18, 2024 | 38 y | 3 |
| W•••••• T••••• K•••• | Blue Bell, Pa | Feb 18, 2024 | 30 y | 4 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••• G••••• · Chief Executive Officercontrolsince 01/2024 · owns 75% or more
- H•••••• K••••••• M•••••• · Vice President And Director Of Client Relationscontrolsince 01/2024 · owns less than 5%
- K•••• J•• W••••••• T••••• · Vice President And Chief Compliance Officercontrolsince 01/2024 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Blue Bell, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 377 to 379Mar 26, 2025 to Mar 27, 2026
- HNW clients · 95 to 99Mar 26, 2025 to Mar 27, 2026
- Individual clients · 60 to 62Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $592M to $591MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $592M to $634MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $25.2M to $26.3MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $25.2M to $69.1MMar 26, 2025 to Mar 27, 2026
- RAUM · $617M to $660MMar 26, 2025 to Mar 27, 2026
- Accounts · 385 to 377Mar 27, 2024 to Mar 26, 2025
- HNW clients · 98 to 95Mar 27, 2024 to Mar 26, 2025
- Individual clients · 56 to 60Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $505M to $592MMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $547M to $592MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $20.4M to $25.2MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $62.5M to $25.2MMar 27, 2024 to Mar 26, 2025
- RAUM · $568M to $617MMar 27, 2024 to Mar 26, 2025
- Succession · true to falseJan 19, 2024 to Mar 27, 2024
Signals
2 dated events
- N•••••••• A•••• M••••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 19, 2024 · Succession (Item 4) · fact
- N•••••••• A•••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jan 19, 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
- i•••@n•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 484-342-4200reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 484-342-4201reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 484-342-4202reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- n•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 484-342-4200reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- n•••••••••.comreportedpublished 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
- $330Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026