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
E•••••• I••••••••• A•••••••• L••
Latest filing Jan 30, 2026
First filing on the tape Sep 15, 2025 · 2 filings
SEC status approved since Nov 17, 2025
RAUM
$2.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.1%
$116M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$2.3B as of Jan 30, 2026
Sep 15, 2025$0 then
HNW client RAUM$106M as of Jan 30, 2026
Sep 15, 2025$0 then
State-registered IARs (5.B.3)0 as of Jan 30, 2026
Sep 15, 20250 then
Employees (5.A)12 as of Jan 30, 2026
Sep 15, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 30, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $12.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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
- 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
- Other investment advisers$392M40%
- Pension and profit-sharing plans$264M27%
- High-net-worth individuals$106M11%
- Investment companies$85.8M8.8%
- Charitable organizations$69.2M7.1%
- Corporations and businesses$32.7M3.3%
- State and municipal entities$15.2M1.6%
- Individuals$10.3M1.0%
- Banks and thrifts$3.9M0.4%
- Individual clients
- 23reported
- HNW clients
- 69reported
- Pension plan clients
- 25reported
- Charitable clients
- 32reported
- Accounts
- 189reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.3B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.05 fund_share=0.21 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• K••••••• G••••• · President, Chief Investment Officercontrolsince 09/2025 · owns less than 5%
- V••••• D••••• A••• · Managing Directorcontrolsince 09/2025 · owns less than 5%
- M•••••• J••••• A••••• · Chief Compliance Officersince 03/2005 · owns less than 5%
Entity owners
- E•••••• A•••••••• L•• · Direct Ownerdirect · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jan 30, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-09-15, yes on the filing of 2026-01-30peers: other advisers, $1B to $5B (247)
- business activity changedChange between filings · filing Jan 30, 2026wrap fee program participation (Item 5.I): no on the filing of 2025-09-15, yes on the filing of 2026-01-30peers: other advisers, $1B to $5B (247)
What changed
consecutive filings, newest first
- Accounts · 0 to 189Sep 15, 2025 to Jan 30, 2026
- Advisory employees · 2 to 12Sep 15, 2025 to Jan 30, 2026
- Advisory activities · 1 to 4Sep 15, 2025 to Jan 30, 2026
- Charity clients · unset to 32.0Sep 15, 2025 to Jan 30, 2026
- Corporate clients · unset to 12.0Sep 15, 2025 to Jan 30, 2026
- HNW clients · unset to 69.0Sep 15, 2025 to Jan 30, 2026
- Individual clients · unset to 23.0Sep 15, 2025 to Jan 30, 2026
- Pension plan clients · unset to 25.0Sep 15, 2025 to Jan 30, 2026
- Pooled vehicle clients · unset to 0.0Sep 15, 2025 to Jan 30, 2026
- Employees · 4 to 12Sep 15, 2025 to Jan 30, 2026
- Other offices · 0 to 1Sep 15, 2025 to Jan 30, 2026
- Discretionary RAUM · $0 to $2.3BSep 15, 2025 to Jan 30, 2026
- HNW RAUM · $0 to $106MSep 15, 2025 to Jan 30, 2026
- Individual RAUM · $0 to $10.3MSep 15, 2025 to Jan 30, 2026
- Pension RAUM · $0 to $264MSep 15, 2025 to Jan 30, 2026
- Pooled vehicle RAUM · 0.0 to unsetSep 15, 2025 to Jan 30, 2026
- RAUM · $0 to $2.3BSep 15, 2025 to Jan 30, 2026
- Wrap assets (manager) · unset to 1283687302.0Sep 15, 2025 to Jan 30, 2026
- Wrap assets (sponsor) · unset to 0.0Sep 15, 2025 to Jan 30, 2026
Signals
1 dated events
- Kenneth George Mertz, registered through E•••••• A•••••••• L•• (Lancaster, PA), is a direct owner of E•••••• I••••••••• A•••••••• L••, an adviser first registered 2025-09-15Sep 15, 2025 · Owner of a newly registered adviser · 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
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 717-556-8900reportedpublic record, Form ADV, Jan 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026