DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••• W•••••
Legal name P••••••• W•••••• L••
Latest filing May 4, 2026
First filing on the tape Oct 10, 2025 · 5 filings
SEC status approved since Nov 19, 2025
RAUM
$101M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$101M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$50.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$101M as of May 4, 2026
Oct 10, 2025$0 then
HNW client RAUM$97.4M as of May 4, 2026
Mar 19, 2026$77.2M then
State-registered IARs (5.B.3)2 as of May 4, 2026
Oct 10, 20251 then
Employees (5.A)2 as of May 4, 2026
Oct 10, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $50.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 17derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM 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
- 2.0derived1 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, hourly, fixed feesreportedItem 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
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$97.4M97%
- Individuals$3.3M3.2%
- Individual clients
- 9reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 81reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• L•• P•••••••Certified Financial Planner | Churchville, Pa | Dec 16, 2025 | 43 y | 0 |
| J••••• P••••••• | Churchville, Pa | Apr 27, 2026 | 13 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
none on the tape
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Churchville, Pa | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 81Apr 23, 2026 to May 4, 2026
- Advisory employees · 1 to 2Apr 23, 2026 to May 4, 2026
- HNW clients · 20 to 25Apr 23, 2026 to May 4, 2026
- Individual clients · 6 to 9Apr 23, 2026 to May 4, 2026
- State-registered IARs · 1 to 2Apr 23, 2026 to May 4, 2026
- Discretionary RAUM · $79.1M to $101MApr 23, 2026 to May 4, 2026
- HNW RAUM · $77.2M to $97.4MApr 23, 2026 to May 4, 2026
- Individual RAUM · $1.9M to $3.3MApr 23, 2026 to May 4, 2026
- RAUM · $79.1M to $101MApr 23, 2026 to May 4, 2026
- Assets in custody · 18386089.0 to unsetMar 19, 2026 to Apr 23, 2026
- Custody of client assets · true to falseMar 19, 2026 to Apr 23, 2026
- Employees · 1 to 2Mar 19, 2026 to Apr 23, 2026
- Accounts · 0 to 61Jan 21, 2026 to Mar 19, 2026
- HNW clients · unset to 20.0Jan 21, 2026 to Mar 19, 2026
- Individual clients · unset to 6.0Jan 21, 2026 to Mar 19, 2026
- Assets in custody · unset to 18386089.0Jan 21, 2026 to Mar 19, 2026
- Custody of client assets · false to trueJan 21, 2026 to Mar 19, 2026
- Financial planning clients · 0 to 1-10Jan 21, 2026 to Mar 19, 2026
- Discretionary RAUM · $0 to $79.1MJan 21, 2026 to Mar 19, 2026
- HNW RAUM · unset to 77176987.0Jan 21, 2026 to Mar 19, 2026
- Individual RAUM · unset to 1920828.0Jan 21, 2026 to Mar 19, 2026
- RAUM · $0 to $79.1MJan 21, 2026 to Mar 19, 2026
Signals
No event on the tape.
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 phone
- 215-499-6850reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 215-499-6850reportedpublic record, Form ADV, May 4, 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
- $50.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026