DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Latest filing Mar 24, 2026
First filing on the tape Mar 27, 2025 · 3 filings
SEC status approved since Apr 2, 2025
RAUM
$952M
reported, Item 5.F
Discretionary
29%
of RAUM
Private clients
99%
$945M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$952M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$952M as of Mar 24, 2026
Mar 27, 2025$0 then
HNW client RAUM$943M as of Mar 24, 2026
Jul 29, 2025$400M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 27, 20251 then
Employees (5.A)1 as of Mar 24, 2026
Mar 27, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $952MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $62.9MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 29%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$943M99%
- Charitable organizations$6.8M0.7%
- Individuals$2.5M0.3%
- Individual clients
- 18reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 211reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• V•• M•••••Certified Financial Planner | Ephrata, Pa | Apr 17, 2025 | 26 y | 2 |
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
- J•••• V•• M••••• from V••••••• A•••••••• I•••Apr 17, 2025 · 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
- M•••••• J••••• V•• · Chief Compliance Officer, Chief Executive Officer, Sole Proprietor, Sole Ownercontrolsince 02/2025 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 88 to 211Jul 29, 2025 to Mar 24, 2026
- HNW clients · 10 to 15Jul 29, 2025 to Mar 24, 2026
- Individual clients · 11 to 18Jul 29, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 1-10Jul 29, 2025 to Mar 24, 2026
- Discretionary RAUM · $9.8M to $273MJul 29, 2025 to Mar 24, 2026
- HNW RAUM · $400M to $943MJul 29, 2025 to Mar 24, 2026
- Individual RAUM · $1.4M to $2.5MJul 29, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $398M to $679MJul 29, 2025 to Mar 24, 2026
- RAUM · $408M to $952MJul 29, 2025 to Mar 24, 2026
- Accounts · 0 to 88Mar 27, 2025 to Jul 29, 2025
- HNW clients · unset to 10.0Mar 27, 2025 to Jul 29, 2025
- Individual clients · unset to 11.0Mar 27, 2025 to Jul 29, 2025
- Financial planning clients · 0 to 0Mar 27, 2025 to Jul 29, 2025
- Discretionary RAUM · $0 to $9.8MMar 27, 2025 to Jul 29, 2025
- HNW RAUM · unset to 399584736.0Mar 27, 2025 to Jul 29, 2025
- Individual RAUM · unset to 1401342.0Mar 27, 2025 to Jul 29, 2025
- Non-discretionary RAUM · $0 to $398MMar 27, 2025 to Jul 29, 2025
- RAUM · $0 to $408MMar 27, 2025 to Jul 29, 2025
Signals
1 dated events
- M•••••• J•••• V•• reported RAUM $952.3M, up 134% from $407.8M (2025-07-29 to 2026-03-24)Mar 24, 2026 · RAUM change · 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
- Principal office phone
- 717-336-9229reportedpublic record, Form ADV, Mar 24, 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
- $952Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026