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
S••••••••• P•••••• W•••••
Legal name S••••••••• P•••••• W•••••• L••
Latest filing Aug 19, 2026
First filing on the tape Jan 19, 2026 · 7 filings
SEC status approved since Jan 2, 2026
RAUM
$177M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$170M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$44.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$177M as of Aug 19, 2026
Jan 19, 2026$0 then
HNW client RAUM$133M as of Aug 19, 2026
May 1, 2026$133M then
State-registered IARs (5.B.3)4 as of Aug 19, 2026
Jan 19, 20261 then
Employees (5.A)4 as of Aug 19, 2026
Jan 19, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 19, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $44.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $385,953derivedRAUM 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
- 1.0derived4 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 individualsreportedItem 5.G
- Custody
- $37.0M, 70 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$133M75%
- Individuals$36.6M21%
- Corporations and businesses$7.0M4.0%
- Individual clients
- 110reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 458reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $37.0M for 70 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• O•••••••Certified Financial Planner | Allenton, Pa | Jan 28, 2026 | 45 y | 1 |
| J•••• F• B••• | Allenton, Pa | Feb 5, 2026 | 12 y | 3 |
| M•••••• B•••• O•••••••Certified Financial Planner | Allenton, Pa | Feb 12, 2026 | 13 y | 2 |
| S••• E•• B•••••• | Allenton, Pa | Apr 6, 2026 | 20 y | 3 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- S••• E•• B•••••• from E•••• F•••••••• G••••• L••Apr 6, 2026 · RIA to a newly registered adviser
- M•••••• B•••• O••••••• from E•••• F•••••••• G••••• L••Feb 12, 2026 · RIA to a newly registered adviser
- J•••• F• B••• from E•••• F•••••••• G••••• L••Feb 5, 2026 · RIA to a newly registered adviser
- B•••• O••••••• from H•••••• T••••••• • K•••• L••Jan 28, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• S•••• E•• · Principalcontrolsince 11/2025 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Allenton, Pa · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · to ALLENTONJun 5, 2026 to Aug 19, 2026
- HQ state · to PAJun 5, 2026 to Aug 19, 2026
- Other offices · 2 to 3May 1, 2026 to Jun 5, 2026
- Accounts · 0 to 458Apr 1, 2026 to May 1, 2026
- Advisory employees · 2 to 4Apr 1, 2026 to May 1, 2026
- Corporate clients · unset to 4.0Apr 1, 2026 to May 1, 2026
- HNW clients · unset to 50.0Apr 1, 2026 to May 1, 2026
- Individual clients · unset to 110.0Apr 1, 2026 to May 1, 2026
- Assets in custody · unset to 37022716.0Apr 1, 2026 to May 1, 2026
- Custody of client assets · false to trueApr 1, 2026 to May 1, 2026
- Employees · 2 to 4Apr 1, 2026 to May 1, 2026
- State-registered IARs · 2 to 4Apr 1, 2026 to May 1, 2026
- Discretionary RAUM · $0 to $177MApr 1, 2026 to May 1, 2026
- HNW RAUM · unset to 133188401.0Apr 1, 2026 to May 1, 2026
- Individual RAUM · unset to 36591249.0Apr 1, 2026 to May 1, 2026
- RAUM · $0 to $177MApr 1, 2026 to May 1, 2026
- Other offices · 1 to 2Mar 18, 2026 to Apr 1, 2026
- Advisory employees · 1 to 2Jan 19, 2026 to Feb 5, 2026
- Employees · 1 to 2Jan 19, 2026 to Feb 5, 2026
- State-registered IARs · 1 to 2Jan 19, 2026 to Feb 5, 2026
- Other offices · 0 to 1Jan 19, 2026 to Feb 5, 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
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 6102910232reportedpublic record, Form ADV, Aug 19, 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
- $44.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026