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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

WARREN FINANCIAL SERVICE

WARREN FINANCIAL SERVICE & ASSOCIATES, INC., CRD 119066

EXTON, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66e014c8-3f5d-40ad-2911-5b8bc37ed94d

Data as of Aug 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 8
On other graphs: 1
Observed: Mar 14, 2012 to Aug 3, 2022
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

Warren Financial Service

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $366MItem 5.F on the latest filing (2022-08-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $361M
Private client RAUM: $281MderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 363
Individual clients: 208
High net worth clients: 107
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $80.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $80.1M
SEC number: 801-79496
CRD: 119066
Filings on the tape: 20
First filed: Mar 14, 2012
Latest filed: Aug 3, 2022
Organised: Corporation, Pennsylvania

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
BIG DIVIDEND HEDGE STRATEGY	Hedge Fund	$74.8M	Mar 26, 2024	76	Mar 14, 2012	reported	021-179523
WFS ANGELS LP	Venture Capital Fund	$129,928	Mar 6, 2019	8	Mar 5, 2015	dropped	021-239171

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
WARREN, RANDALL, ALAN	CHIEF COMPLIANCE OFFICER	E	yes	01/2001	Mar 14, 2012	Aug 3, 2022
Copeland, Karen	DIRECTOR TECHNOLOGY	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
LOGAN, MICHAEL, TROY	MANAGING PARTNER	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
MCCARTY, ROBERT, A	MANAGING PARTNER	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
O'TOOLE, JOHN, JOSEPH	MANAGING PARTNER	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
SHELLHAMER, SCOTT	MANAGING PARTNER	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
SISSON, JUSTIN, Kyle	SR FINANCIAL ANALYST	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022
WARREN, AUSTIN	SR FINANCIAL ANALYST	Na	no	01/2021	Mar 2, 2022	Aug 3, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
WARREN FINANCIAL SERVICE & ASSOCIATES, INC.	n/a	Former SEC adviser	$366M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Atlanta	Ga	United States	1	no
HILTON HEAD	Sc	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 2, 2022	$366M	$361M	11	7	2	1	$80.1M
2020	Feb 16, 2021	$288M	$284M	9	6	2	1	$61.0M
2019	Mar 15, 2020	$210M	$207M	8	5	2	1	$43.6M
2018	Mar 6, 2019	$169M	$166M	8	5	2	2	$36.1M
2017	Feb 28, 2018	$163M	$158M	8	5	2	2	$28.8M
2016	Mar 10, 2017	$136M	$132M	8	5	n/a	2	$21.0M
2015	Mar 19, 2016	$136M	$132M	9	6	n/a	2	$21.6M
2014	Mar 5, 2015	$137M	$133M	7	4	n/a	2	$18.2M
2011	Mar 14, 2012	$55.7M	$54.5M	n/a	n/a	n/a	1	$10.0M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$366M	$288M	27.1%	$169M	29.3%	11	9	2	2

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
EP WEALTH ADVISORS	3	Dec 22, 2022	Nov 21, 2024	EXTON, PA	Firm absorbed	RIA to RIA	50.0%

Relationships

Advises (2)

→ BIG DIVIDEND HEDGE STRATEGYPrivate fundHedge Fund, ERA
Mar 14, 2012 to presentfactForm ADV
→ WFS ANGELS LPPrivate fundVenture Capital Fund, IA, no longer reported
Mar 5, 2015 to Mar 6, 2019factForm ADV

Affiliated with (1)

→ WARREN FINANCIAL SERVICERegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV

Owns (7)

← O'TOOLE, JOHN, JOSEPHOwnerMANAGING PARTNER, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← SHELLHAMER, SCOTTOwnerMANAGING PARTNER, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← LOGAN, MICHAEL, TROYOwnerMANAGING PARTNER, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← SISSON, JUSTIN, KyleOwnerSR FINANCIAL ANALYST, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← MCCARTY, ROBERT, AOwnerMANAGING PARTNER, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← WARREN, AUSTINOwnerSR FINANCIAL ANALYST, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV
← Copeland, KarenOwnerDIRECTOR TECHNOLOGY, ownership code NA, individual
Mar 2, 2022 to presentfactForm ADV

Controls (1)

← WARREN, RANDALL, ALANOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 14, 2012 to presentfactForm ADV

Moved with (1)

→ EP WEALTH ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Dec 22, 2022 to Nov 21, 2024factForm ADV

Registered with (6)

← JOHN JOSEPH O'TOOLEAdvisorregistration: previous registration
Nov 12, 2014 to Dec 22, 2022factForm ADV
← SCOTT SHELLHAMERAdvisorregistration: previous registration
Mar 26, 2012 to Dec 22, 2022factForm ADV
← Michael Troy LoganAdvisorregistration: previous registration
Jun 19, 2008 to Dec 22, 2022factForm ADV
← ROBERT A MCCARTYAdvisorregistration: previous registration
May 7, 2015 to Dec 22, 2022factForm ADV
← Devin Raymond PaulAdvisorregistration: previous registration
Sep 5, 2022 to Dec 22, 2022factForm ADV
← Jordan T SissonAdvisorregistration: previous registration
Jul 12, 2021 to Dec 22, 2022factForm ADV

Dated events

Occurred
Dec 22, 2022
Firm absorbed
Warren Financial Service's advisors moved to EP Wealth Advisors (Exton, PA): 3 of 6 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Dec 22, 2022
Advisor changed firm
Devin Raymond Paul left Warren Financial Service for Ep Wealth Advisors (registered 2022-12-20)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Jordan T Sisson left Warren Financial Service for Ep Wealth Advisors (registered 2024-11-21)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Robert A Mccarty left Warren Financial Service for Ep Wealth Advisors (registered 2024-11-22)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Scott Shellhamer left Warren Financial Service for Ep Wealth Advisors (registered 2023-08-08)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
Michael Troy Logan left Warren Financial Service for Raymond James Financial Services Advisors, Inc (registered 2022-12-09)
Form ADVobserved 4 days ago
Occurred
Dec 22, 2022
Advisor changed firm
John Joseph O'Toole left Warren Financial Service for Ep Wealth Advisors (registered 2022-12-20)
Form ADVobserved 4 days ago
Occurred
Mar 27, 2014
First Form ADV filing
Warren Financial Service filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66e014c8-3f5d-40ad-2911-5b8bc37ed94d
First observed: Mar 14, 2012
Last observed: Aug 3, 2022 50 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

WARREN FINANCIAL SERVICE

WARREN FINANCIAL SERVICE & ASSOCIATES, INC., CRD 119066

EXTON, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:66e014c8-3f5d-40ad-2911-5b8bc37ed94d

Data as of Aug 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BIG DIVIDEND HEDGE STRATEGY

Hedge Fund

$74.8M

Mar 26, 2024

Mar 14, 2012

reported

021-179523

WFS ANGELS LP

Venture Capital Fund

$129,928

Mar 6, 2019

Mar 5, 2015

dropped

021-239171

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WARREN, RANDALL, ALAN

CHIEF COMPLIANCE OFFICER

yes

01/2001

Mar 14, 2012

Aug 3, 2022

Copeland, Karen

DIRECTOR TECHNOLOGY

01/2021

Mar 2, 2022

Aug 3, 2022

LOGAN, MICHAEL, TROY

MANAGING PARTNER

01/2021

Mar 2, 2022

Aug 3, 2022

MCCARTY, ROBERT, A

MANAGING PARTNER

01/2021

Mar 2, 2022

Aug 3, 2022

O'TOOLE, JOHN, JOSEPH

MANAGING PARTNER

01/2021

Mar 2, 2022

Aug 3, 2022

SHELLHAMER, SCOTT

MANAGING PARTNER

01/2021

Mar 2, 2022

Aug 3, 2022

SISSON, JUSTIN, Kyle

SR FINANCIAL ANALYST

01/2021

Mar 2, 2022

Aug 3, 2022

WARREN, AUSTIN

SR FINANCIAL ANALYST

01/2021

Mar 2, 2022

Aug 3, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

WARREN FINANCIAL SERVICE & ASSOCIATES, INC.

n/a

Former SEC adviser

$366M

yes

n/a

City

State

Country

Employees

Also broker-dealer

Atlanta

United States

HILTON HEAD

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 2, 2022

$366M

$361M

$80.1M

2020

Feb 16, 2021

$288M

$284M

$61.0M

2019

Mar 15, 2020

$210M

$207M

$43.6M

2018

Mar 6, 2019

$169M

$166M

$36.1M

2017

Feb 28, 2018

$163M

$158M

$28.8M

2016

Mar 10, 2017

$136M

$132M

n/a

$21.0M

2015

Mar 19, 2016

$136M

$132M

n/a

$21.6M

2014

Mar 5, 2015

$137M

$133M

n/a

$18.2M

2011

Mar 14, 2012

$55.7M

$54.5M

n/a

$10.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$366M

$288M

27.1%

$169M

29.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

EP WEALTH ADVISORS

Dec 22, 2022

Nov 21, 2024

EXTON, PA

Firm absorbed

RIA to RIA

50.0%