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
L•••••• S••••• W••••• P••••••• L••
Latest filing May 15, 2026
First filing on the tape Jul 10, 2024 · 13 filings
SEC status approved since Aug 9, 2024
RAUM
$568M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$563M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$568M as of May 15, 2026
Jan 10, 2025$0 then
HNW client RAUM$408M as of May 15, 2026
Mar 5, 2025$218M then
State-registered IARs (5.B.3)5 as of May 15, 2026
Jan 10, 20252 then
Employees (5.A)6 as of May 15, 2026
Jan 10, 20252 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 5offices 1 to 2
Practice profile
derived from the filing of May 15, 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
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $340,397derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +150%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $124M, 196 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$408M72%
- Individuals$155M27%
- Corporations and businesses$3.8M0.7%
- Charitable organizations$978,6970.2%
- Individual clients
- 475reported
- HNW clients
- 145reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,668reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $124M for 196 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• S••••• H•••••••Chartered Financial Consultant | Bethlehem, Pa | Aug 20, 2024 | 34 y | 1 |
| G••••• A•••••• C•••••Certified Financial Planner, Chartered Financial Consultant | Bethlehem, Pa | Aug 23, 2024 | 38 y | 1 |
| D•••• S• P••• | Bolivia, Nc | May 29, 2025 | 26 y | 0 |
| A•••••• C•••••• | Bethlehem, Pa | Jun 30, 2025 | 11 y | 0 |
| C••••• J•••• C••••••••• | Bethlehem, Pa | Oct 29, 2025 | 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
- G••••• A•••••• C••••• from A••••••••• F•••••••• S•••••••• L••Aug 23, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
- A•••• S••••• H••••••• from A••••••••• F•••••••• S•••••••• L••Aug 20, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• G•••••• A•••••• · Managing Member / Managing Partner And Private Wealth Advisorcontrolsince 07/2024 · owns less than 5%
- H•••••••• A••••• S••••• · Managing Member / Managing Partner And Private Wealth Advisor / Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- C•••••• G•••••• A•••••• · Managing Membercontrolsince 07/2024 · owns 75% or more of I•••••• L••
- H•••••••• A••••• S••••• · Managing Membercontrolsince 03/2016 · owns 75% or more of A••• L••
Entity owners
- A••• L•• · Managing Memberdirect · owns 50% to 75%
- I•••••• L•• · Managing Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Bethlehem, Pa · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 46.0% to 72.0% between the annual amendments of 2025-04-23 and 2026-03-02peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,482 to 1,668Nov 7, 2025 to Feb 9, 2026
- Advisory employees · 2 to 5Nov 7, 2025 to Feb 9, 2026
- Corporate clients · unset to 5.0Nov 7, 2025 to Feb 9, 2026
- HNW clients · 91 to 145Nov 7, 2025 to Feb 9, 2026
- Individual clients · 619 to 475Nov 7, 2025 to Feb 9, 2026
- Assets in custody · unset to 123776663.0Nov 7, 2025 to Feb 9, 2026
- Custody of client assets · false to trueNov 7, 2025 to Feb 9, 2026
- Employees · 4 to 6Nov 7, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 11-25Nov 7, 2025 to Feb 9, 2026
- State-registered IARs · 2 to 5Nov 7, 2025 to Feb 9, 2026
- Other offices · 1 to 2Nov 7, 2025 to Feb 9, 2026
- Discretionary RAUM · $476M to $568MNov 7, 2025 to Feb 9, 2026
- HNW RAUM · $218M to $408MNov 7, 2025 to Feb 9, 2026
- Individual RAUM · $258M to $155MNov 7, 2025 to Feb 9, 2026
- RAUM · $476M to $568MNov 7, 2025 to Feb 9, 2026
- Financial planning clients · 0 to 0Aug 25, 2025 to Nov 7, 2025
- Accounts · 0 to 1,482Jan 10, 2025 to Mar 5, 2025
- Advisory activities · 2 to 3Jan 10, 2025 to Mar 5, 2025
- HNW clients · unset to 91.0Jan 10, 2025 to Mar 5, 2025
- Individual clients · unset to 619.0Jan 10, 2025 to Mar 5, 2025
- Employees · 2 to 4Jan 10, 2025 to Mar 5, 2025
- Discretionary RAUM · $0 to $476MJan 10, 2025 to Mar 5, 2025
- HNW RAUM · unset to 218000000.0Jan 10, 2025 to Mar 5, 2025
- Individual RAUM · unset to 258000000.0Jan 10, 2025 to Mar 5, 2025
- RAUM · $0 to $476MJan 10, 2025 to Mar 5, 2025
Signals
1 dated events
- L•••••• S••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 10, 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
- v••@l•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-865-5803reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-865-5983reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (610) 865-5803reportedpublic record, Form ADV, May 15, 2026
- Team page
- l•••••••••.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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026