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
M••••••• W••••• M••••••••• I•••
Latest filing Apr 30, 2026
First filing on the tape Feb 18, 2024 · 15 filings
SEC status approved since Jul 19, 2024
RAUM
$590M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
76%
$447M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$65.5M
derived; firm RAUM over IAPD count
Employees
12
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$590M as of Apr 30, 2026
Jan 23, 2025$415M then
HNW client RAUM$348M as of Apr 30, 2026
Jan 23, 2025$187M then
State-registered IARs (5.B.3)9 as of Apr 30, 2026
Jan 23, 20255 then
Employees (5.A)12 as of Apr 30, 2026
Jan 23, 202512 then
Private funds: no history
RAUM +42% over the last fiscal yearIARs 5 to 9
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $65.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $382,801derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $509MreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$348M59%
- Individuals$98.8M17%
- Pension and profit-sharing plans$80.3M14%
- Charitable organizations$42.7M7.2%
- Corporations and businesses$19.8M3.4%
- Individual clients
- 219reported
- HNW clients
- 186reported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 1,540reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••••• R•••• N••••Certified Financial Planner | Leola, Pa | Mar 26, 2024 | 14 y | 1 |
| J••••••• T•••••••Certified Financial Planner | Leola, Pa | Mar 27, 2024 | 19 y | 1 |
| T•••••• S•••• T••••Certified Financial Planner | Leola, Pa | Mar 27, 2024 | 25 y | 0 |
| C•••••• D•••• K••••• | Leola, Pa | Mar 27, 2024 | 35 y | 2 |
| L••• E• H••••••Certified Financial Planner | Leola, Pa | Mar 27, 2024 | 34 y | 2 |
| A••••• J•• S••••• | Leola, Pa | Feb 21, 2025 | 10 y | 0 |
| C••••• T•••• K••••• | Leola, Pa | Apr 14, 2025 | 10 y | 0 |
| M•••••• D••• W••••••Certified Financial Planner | Leola, Pa | Oct 10, 2025 | 11 y | 4 |
| L••• H••••• | Leola, Pa | Dec 6, 2025 | 20 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- M•••••• D••• W•••••• from C••••• I••••••••• A••••••• L••Oct 10, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• D•••• K••••• from S••••••••• A•••••• A•••••••• I•••Mar 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- L••• E• H•••••• from S••••••••• A•••••• A•••••••• I•••Mar 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• T••••••• from S••••••••• A•••••• A•••••••• I•••Mar 27, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- G••••••• R•••• N•••• from S••••••••• A•••••• A•••••••• I•••Mar 26, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from S••••••••• A•••••• A•••••••• I•••Apr 1, 2024 · Lancaster, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• L•••• E• · Chief Executive Officer / Founding Partner And Chief Compliance Officercontrolsince 02/2024 · owns 25% to 50%
- K•••••• C••••••• D•••• · Founding Partner / Advisorcontrolsince 02/2024 · owns 10% to 25%
- N••••• G•••••••• R•••• · Managing Partnercontrolsince 02/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Leola, Pa · principal | 9 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $415,439,107 to $589,513,898 (+42.0%) between the annual amendments of 2025-04-23 and 2026-04-30; the peer median change was +16.0% (1385 comparable advisers, 91.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 91% percentile
- advisor count surgeChange between filings · filing Apr 30, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 9.0 (+80.0%) between the annual amendments of 2025-04-23 and 2026-04-30; the peer median change was 0.0% (795 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 99% percentile
What changed
consecutive filings, newest first
- HQ city · LANCASTER to LEOLAMar 6, 2026 to Apr 30, 2026
- Accounts · 1,263 to 1,540Nov 21, 2025 to Mar 6, 2026
- Advisory employees · 5 to 9Nov 21, 2025 to Mar 6, 2026
- Advisory activities · 4 to 5Nov 21, 2025 to Mar 6, 2026
- BD registered reps · 5 to 0Nov 21, 2025 to Mar 6, 2026
- HNW clients · 137 to 186Nov 21, 2025 to Mar 6, 2026
- Individual clients · 231 to 219Nov 21, 2025 to Mar 6, 2026
- Pension plan clients · 18 to 23Nov 21, 2025 to Mar 6, 2026
- State-registered IARs · 5 to 9Nov 21, 2025 to Mar 6, 2026
- Discretionary RAUM · $360M to $509MNov 21, 2025 to Mar 6, 2026
- HNW RAUM · $187M to $348MNov 21, 2025 to Mar 6, 2026
- Individual RAUM · $119M to $98.8MNov 21, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $55.8M to $80.3MNov 21, 2025 to Mar 6, 2026
- Pension RAUM · $55.8M to $80.3MNov 21, 2025 to Mar 6, 2026
- RAUM · $415M to $590MNov 21, 2025 to Mar 6, 2026
- Financial planning clients · 101-250 to 101-250Apr 23, 2025 to Jun 10, 2025
- Accounts · 1,175 to 1,263Nov 7, 2024 to Jan 23, 2025
- Advisory employees · 6 to 5Nov 7, 2024 to Jan 23, 2025
- Advisory activities · 2 to 4Nov 7, 2024 to Jan 23, 2025
- BD registered reps · 6 to 5Nov 7, 2024 to Jan 23, 2025
- HNW clients · 102 to 137Nov 7, 2024 to Jan 23, 2025
- Individual clients · 261 to 231Nov 7, 2024 to Jan 23, 2025
- Pension plan clients · 19 to 18Nov 7, 2024 to Jan 23, 2025
- Employees · 10 to 12Nov 7, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 101-250Nov 7, 2024 to Jan 23, 2025
- State-registered IARs · 6 to 5Nov 7, 2024 to Jan 23, 2025
- Discretionary RAUM · $327M to $360MNov 7, 2024 to Jan 23, 2025
- HNW RAUM · $172M to $187MNov 7, 2024 to Jan 23, 2025
- Individual RAUM · $101M to $119MNov 7, 2024 to Jan 23, 2025
- Non-discretionary RAUM · $53.1M to $55.8MNov 7, 2024 to Jan 23, 2025
- Pension RAUM · $53.1M to $55.8MNov 7, 2024 to Jan 23, 2025
- RAUM · $380M to $415MNov 7, 2024 to Jan 23, 2025
- Accounts · 0 to 1,175Apr 15, 2024 to Jul 16, 2024
- Corporate clients · unset to 6.0Apr 15, 2024 to Jul 16, 2024
- HNW clients · unset to 102.0Apr 15, 2024 to Jul 16, 2024
- Individual clients · unset to 261.0Apr 15, 2024 to Jul 16, 2024
- Pension plan clients · unset to 19.0Apr 15, 2024 to Jul 16, 2024
- Discretionary RAUM · $0 to $327MApr 15, 2024 to Jul 16, 2024
- HNW RAUM · unset to 172487900.0Apr 15, 2024 to Jul 16, 2024
- Individual RAUM · unset to 101401270.0Apr 15, 2024 to Jul 16, 2024
Signals
3 dated events
- M••••••• W••••• M••••••••• I••• reported RAUM $589.5M, up 42% from $415.4M (2025-11-21 to 2026-03-06)Mar 6, 2026 · RAUM change · derived
- 4 advisors left S••••••••• A•••••• A•••••••• I••• (Lancaster, PA) for M••••••• W••••• M••••••••• I••• on the same dayApr 1, 2024 · Team lift-out · derived
- M••••••• A••••••• I••• filed its initial SEC registration (Form ADV)Feb 18, 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
- info@mastersadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-581-1323reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-581-1329reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/masterswealthmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- mastersadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (717) 581-1323reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- mastersadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mastersadvisors.com/our-teamreportedpublished 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
- $65.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026