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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Former SEC-registered adviser

I••••••••• W••••• S••••••••• L••

Former SEC-registered adviserYork, PennsylvaniaCRD 334422SEC 801-137270IAPD
Latest filing Sep 14, 2026
First filing on the tape Aug 11, 2026 · 2 filings
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$110M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$14.3M
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$114M as of Sep 14, 2026
Aug 11, 2026$114M then
HNW client RAUM$55.0M as of Sep 14, 2026
Aug 11, 2026$55.0M then
State-registered IARs (5.B.3)8 as of Sep 14, 2026
Aug 11, 20268 then
Employees (5.A)8 as of Sep 14, 2026
Aug 11, 20268 then
Private funds: no history
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
RAUM per advisor
$14.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.1MderivedHNW RAUM over HNW clients
Average account
$129,105derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.7derived3 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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
  • 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
  • Individuals$55.0M48%
  • High-net-worth individuals$55.0M48%
  • Corporations and businesses$4.0M3.5%
Individual clients
250reported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
883reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
8 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R•••••• W••••••••York, PaJan 31, 202514 y2
M••••••• W••••••••York, PaJan 31, 202530 y2
T•••• T••••• H••••••Camp Hill, Pa Mar 30, 202513 y1
C••••••••• D•••• A•••••••York, PaMar 30, 202510 y0
J•••• M••••• S••••••York, PaAug 20, 202513 y2
M•••••• E• H•••York, PaFeb 23, 202610 y0
J•••• C• K•••York, PaApr 13, 202618 y2
J•••••• C••••• M••••••York, Pa May 19, 202610 y0
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      York, Pa · principal830
      Camp Hill, Pa210
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • 2 advisors left T•••• W••••• (York, PA) for I••••••••• W••••• S••••••••• L•• a day apart
        Feb 4, 2025 · Team lift-out · derived
      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
      Firm profile
      linkedin.com/company/firm-foundation-wealthreportedpublic record, Form ADV, Sep 18, 2026
      Website
      IWSWealth.comreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $14.3Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026