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
A•• P•••••• W•••••
Latest filing Feb 24, 2026
First filing on the tape Sep 24, 2025 · 2 filings
SEC status approved since Nov 14, 2025
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$110M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$22.7M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$114M as of Feb 24, 2026
Sep 24, 2025$0 then
HNW client RAUM: $104M
State-registered IARs (5.B.3)5 as of Feb 24, 2026
Sep 24, 20250 then
Employees (5.A)6 as of Feb 24, 2026
Sep 24, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 24, 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
- RAUM per advisor
- $22.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 5derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.0MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M92%
- Individuals$5.9M5.2%
- Corporations and businesses$2.1M1.8%
- Charitable organizations$1.4M1.2%
- Individual clients
- 10reported
- HNW clients
- 13reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 73reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• L•• H•••••Certified Financial Planner | Lancaster, Pa | Feb 20, 2026 | 13 y | 1 |
| N•••••• C• M•••••• | Lancaster, Pa | Feb 20, 2026 | 10 y | 1 |
| M••••• G•••• F•••••Certified Financial Planner | Lancaster, Pa | Feb 20, 2026 | 14 y | 1 |
| J••••• T••• G••••• | Lancaster, Pa | Feb 20, 2026 | 10 y | 1 |
| H•••• M•••• S•••••••Certified Financial Planner | Lancaster, Pa | Feb 23, 2026 | 14 y | 2 |
Advisor movement
0 left, 5 joined in 12 months
net +5 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
- H•••• M•••• S••••••• from R•• P•••••• W•••••Feb 23, 2026 · RIA to a newly registered adviser
- T•••• L•• H••••• from R•• P•••••• W•••••Feb 20, 2026 · RIA to a newly registered adviser
- M••••• G•••• F••••• from R•• P•••••• W•••••Feb 20, 2026 · RIA to a newly registered adviser
- J••••• T••• G••••• from R•• P•••••• W•••••Feb 20, 2026 · RIA to a newly registered adviser
- N•••••• C• M•••••• from R•• P•••••• W•••••Feb 20, 2026 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from R•• P•••••• W•••••Feb 12, 2026 · Lancaster, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• T••••• L•• · Owner And Chief Investment Officercontrolsince 02/2026 · owns 10% to 25%
- S•••••••• H••••• M•••• · Owner And Chief Compliance Officercontrolsince 02/2026 · owns 10% to 25%
Entity owners
- G•••••• P• G•••• S•••••• T• F•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 5 | 5 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 73Sep 24, 2025 to Feb 24, 2026
- Advisory employees · 1 to 5Sep 24, 2025 to Feb 24, 2026
- Charity clients · unset to 3.0Sep 24, 2025 to Feb 24, 2026
- Corporate clients · unset to 1.0Sep 24, 2025 to Feb 24, 2026
- HNW clients · unset to 13.0Sep 24, 2025 to Feb 24, 2026
- Individual clients · unset to 10.0Sep 24, 2025 to Feb 24, 2026
- Employees · 1 to 6Sep 24, 2025 to Feb 24, 2026
- HQ city · to LANCASTERSep 24, 2025 to Feb 24, 2026
- HQ state · to PASep 24, 2025 to Feb 24, 2026
- State-registered IARs · 0 to 5Sep 24, 2025 to Feb 24, 2026
- Discretionary RAUM · $0 to $114MSep 24, 2025 to Feb 24, 2026
- HNW RAUM · unset to 104222614.0Sep 24, 2025 to Feb 24, 2026
- Individual RAUM · unset to 5901428.0Sep 24, 2025 to Feb 24, 2026
- RAUM · $0 to $114MSep 24, 2025 to Feb 24, 2026
Signals
1 dated events
- 5 advisors left R•• P•••••• W••••• (Lancaster, PA) for A•• P•••••• W••••• on the same dayFeb 12, 2026 · 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
- Business email
- info@arxprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- contact@arxprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gganse@arxprivatewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-219-8226reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-219-8415reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-219-9039reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/arx-private-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- arxprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-219-8226reportedpublic record, Form ADV, Feb 24, 2026
- Contact form
- arxprivatewealth.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- arxprivatewealth.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
- $22.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026