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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

GROSS INVESTMENTS

AUG, INC., CRD 121448

LANCASTER, 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:b3b888ce-210a-0650-722d-c51aace8339b

Data as of Mar 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 3
On other graphs: 0
Observed: Nov 9, 2011 to Mar 18, 2022
22 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-64344
CRD: 121448
Filings on the tape: 22
First filed: Nov 9, 2011
Latest filed: Mar 18, 2022
Organised: Corporation, Pennsylvania

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
GROSS, JR., DONALD, RICHARD	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	04/1984	Nov 9, 2011	Mar 18, 2022
GROSS, FRAN	Shareholder	B	no	12/2007	Mar 19, 2012	Mar 18, 2022
LISCHICK, KATHIE	Shareholder	A	no	12/2011	Mar 19, 2012	Mar 18, 2022

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 18, 2022	n/a	n/a	2	2	0	n/a	n/a
2020	Mar 31, 2021	$325M	$292M	3	3	0	n/a	n/a
2019	Mar 27, 2020	$262M	$236M	3	3	0	n/a	n/a
2018	Mar 21, 2019	$232M	$212M	3	3	0	n/a	n/a
2017	Mar 27, 2018	$247M	$198M	3	3	1	n/a	n/a
2016	Mar 17, 2017	$201M	$186M	3	3	n/a	n/a	n/a
2015	Mar 22, 2016	$190M	$174M	2	2	n/a	n/a	n/a
2014	Mar 11, 2015	$186M	$167M	1	1	n/a	n/a	n/a
2013	Mar 12, 2014	$144M	$121M	1	1	n/a	n/a	n/a
2012	Mar 28, 2013	$131M	$110M	1	1	n/a	n/a	n/a
2011	Mar 19, 2012	$121M	$101M	n/a	n/a	n/a	n/a	n/a

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	n/a	$325M	n/a	$232M	n/a	2	3	0	0

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
G&H INVESTMENTS	2	Apr 19, 2022	Jan 19, 2022	LANCASTER, PA	Team lift out	Other	100.0%

Relationships

Controls (1)

← GROSS, JR., DONALD, RICHARDOwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 9, 2011 to presentfactForm ADV

Owns (2)

← GROSS, FRANOwnerSHAREHOLDER, ownership code B, individual
Mar 19, 2012 to presentfactForm ADV
← LISCHICK, KATHIEOwnerSHAREHOLDER, ownership code A, individual
Mar 19, 2012 to presentfactForm ADV

Registered with (2)

← DONALD RICHARD GROSS, JR.Advisorregistration: previous registration
Feb 19, 1991 to Apr 19, 2022factForm ADV
← JEFFREY B HARTMANAdvisorregistration: previous registration
Nov 18, 2015 to Apr 19, 2022factForm ADV

Moved with (1)

→ G&H INVESTMENTSRegistered adviser2 advisors, team lift out, same day
Apr 19, 2022 to Jan 19, 2022factForm ADV

Dated events

Occurred
Apr 19, 2022
Team lift-out
2 advisors left Gross Investments (Lancaster, PA) for G&H Investments on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Apr 19, 2022
Advisor changed firm
Donald Richard Gross, Jr. left Gross Investments for G&H Investments (registered 2022-01-19)
Form ADVobserved 6 days ago
Occurred
Apr 19, 2022
Advisor changed firm
Jeffrey B Hartman left Gross Investments for G&H Investments (registered 2022-01-07)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3b888ce-210a-0650-722d-c51aace8339b
First observed: Nov 9, 2011
Last observed: Mar 18, 2022 54 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.

GROSS INVESTMENTS

AUG, INC., CRD 121448

LANCASTER, 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:b3b888ce-210a-0650-722d-c51aace8339b

Data as of Mar 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:05 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GROSS, JR., DONALD, RICHARD

PRESIDENT/CHIEF COMPLIANCE OFFICER

yes

04/1984

Nov 9, 2011

Mar 18, 2022

GROSS, FRAN

Shareholder

12/2007

Mar 19, 2012

Mar 18, 2022

LISCHICK, KATHIE

Shareholder

12/2011

Mar 19, 2012

Mar 18, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 18, 2022

n/a

2020

Mar 31, 2021

$325M

$292M

n/a

2019

Mar 27, 2020

$262M

$236M

n/a

2018

Mar 21, 2019

$232M

$212M

n/a

2017

Mar 27, 2018

$247M

$198M

n/a

2016

Mar 17, 2017

$201M

$186M

n/a

2015

Mar 22, 2016

$190M

$174M

n/a

2014

Mar 11, 2015

$186M

$167M

n/a

2013

Mar 12, 2014

$144M

$121M

n/a

2012

Mar 28, 2013

$131M

$110M

n/a

2011

Mar 19, 2012

$121M

$101M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

n/a

$325M

n/a

$232M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

G&H INVESTMENTS

Apr 19, 2022

Jan 19, 2022

LANCASTER, PA

Team lift out

Other

100.0%