SEC-registered wealth management firm Broker-dealer affiliated
Diccianni Financial Group, Inc.
As of its Form ADV filed September 14, 2026, Diccianni Financial Group, Inc., an SEC-registered, broker-dealer affiliated wealth management firm in East Norriton, Pennsylvania, reported $128.8 million in regulatory assets under management across 336 accounts, ranking #341 among all wealth firms in Pennsylvania by assets.
Registration
- Main office
- East Norriton, PA
- Registration
- SEC-registered, Approved
- CRD number
- 149332
- SEC file number
- 801-133763
- Registered since
- June 30, 2025
- Latest Form ADV filing
- September 14, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $128.8 million
- Discretionary
- $128.8 million (100.0%)
- Non-discretionary
- $0
- Accounts
- 336 (336 discretionary)
- Clients
- 593, approximate as reported
- Employees
- 4
- Advisory staff
- 2 performing investment advisory functions
- Average account
- $383,274
- Asset growth, 1 year
- 15.8% (from $111.2 million a year earlier)
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- 406.8% (from 117)
Broker-dealer affiliated. The firm is affiliated with a broker-dealer (Item 7.A(1)), at least half of its advisory staff are registered representatives of a broker-dealer (Item 5.B(2) against 5.B(1)), and its advisers manage less than $100 million each on average (5.F(2)(c) over 5.B(1)), the pattern of a broker-dealer's advisory arm rather than an adviser that owns a small broker-dealer. It is ranked among all wealth firms, the directory's view that includes wirehouses and broker-dealer firms, not in the main lists of independent RIAs. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among all wealth firms, including wirehouses and broker-dealer firms.
Assets over time
Data table
| As of | RAUM |
|---|---|
| September 2, 2025 | $111.2 million |
| October 2, 2026 | $128.8 million |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) 272 clients | $68.8 million | |
| High net worth individuals 44 clients | $56.0 million | |
| Pension and profit sharing plans 5 clients | $4.0 million |
How the firm is paid
- A percentage of assets under management
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
Financial planning clients (Item 5.H): 101-250.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
- Registered representative of a broker-dealer
- Insurance broker or agent
Financial industry affiliations (Item 7.A)
- Broker-dealer
- Other investment adviser
Custody (Item 9)
The firm reported custody of client cash or securities, $52.3 million in total.
Investment adviser representatives
- IARs registered with the firm
- 2
- Also registered through a broker-dealer
- 2
- Employees who are IARs (Form ADV 5.B(3))
- 2
Designations held by the firm's IARs: ChFC 1.
0 of the firm's 2 IARs are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
On Form ADV Item 11 the firm answered yes to 0 disclosure questions. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in Pennsylvania
| Firm | City | RAUM |
|---|---|---|
| Walsky Investment Management Inc | Wyomissing | $130.2 million |
| Cgi Wealth Advisors, Inc. | Frazer | $129.4 million |
| Attleboro Wealth Management LLC | Yardley | $129.3 million |
| Guardian Capital, LLC | Wexford | $128.1 million |
| Chartered Advisory Group | Chadds Ford | $127.7 million |
The five wealth firms, broker-dealer affiliated firms included, nearest in regulatory assets with a main office in the same state.
Elsewhere
- Diccianni Financial Group, Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.dfgpa.com
- Wealth management firms in Pennsylvania
Firm data as of October 2, 2026, from ia100226.zip. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 2, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.