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.

Former SEC-registered adviser

Aris Wealth Services Inc

Former SEC-registered adviserState College, PennsylvaniaCRD 104577SEC 801-46896IAPD
Latest filing Jul 8, 2015
First filing on the tape Dec 20, 2011 · 24 filings
RAUM
$1.7B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
48
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.7B as of Nov 3, 2014
Dec 20, 2011$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)14 as of Nov 3, 2014
Jan 2, 201313 then
Employees (5.A)48 as of Nov 3, 2014
Jan 2, 201349 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 16 to 14
Practice profile
derived from the filing of Jul 8, 2015; every figure names its basis
RAUM per advisor
$120MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$248,025derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.4derivedItem 5.A over advisors
Advisors per office
14.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$1.7B, 4,300 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6,787reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.7B for 4,300 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Fyke Ted Angus · Director, Executive Vice President, General Counsel, Secretarycontrol
      since 01/2015 · owns less than 5%
    • Salvatore John Battaglia · Director, Presidentcontrol
      since 01/2015 · owns less than 5%
    • Timothy Charles Boyd · Chief Compliance Officercontrol
      since 01/2015 · owns less than 5%
    • Andrew Davin Gibbins · Vice President, Chief Investment Officercontrol
      since 01/2015 · owns less than 5%
    • George Charles Goldman · Director, Chairman Of The Board, Ceocontrol
      since 01/2015 · owns less than 5%
    • Charles Richard Musar · Senior Vice Presidentcontrol
      since 01/2015 · owns less than 5%
    • George Gary Zyla · Executive Vice President, Chief Financial Officer, Treasurercontrol
      since 01/2015 · owns less than 5%
    Entity owners
    • Aris Corporation Of America · Parent Corporation
      direct · owns 75% or more
    • Aqgen Liberty Holdings, LLC (Parent) · Shareholder
      indirect · owns 75% or more of Assetmark Financial Holdings, Inc.
    • Aquiline Liberty Holdings, LLC · Shareholder
      indirect · owns 25% to 50% of Aqgen Liberty Holdings, LLC (Parent)
    • Assetmark Financial Holdings, Inc. · Shareholder
      indirect · owns 75% or more of Assetmark Financial, Inc.
    • Assetmark Financial, Inc. · Shareholder
      indirect · owns 75% or more of Aris Corporation Of America
    • Genstar Capital Partners V, L.P. · Shareholder
      indirect · owns 25% to 50% of Aqgen Liberty Holdings, LLC (Parent)
    • Genstar Capital Partners Vi, L.P. · Shareholder
      indirect · owns 25% to 50% of Aqgen Liberty Holdings, LLC (Parent)
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Nov 3, 2014 to Jan 15, 2015
    • Related bank · false to true
      Nov 3, 2014 to Jan 15, 2015
    • Related broker-dealer · false to true
      Nov 3, 2014 to Jan 15, 2015
    • Accounts · 5,810 to 6,787
      Apr 30, 2014 to Nov 3, 2014
    • Advisory employees · 7 to 6
      Apr 30, 2014 to Nov 3, 2014
    • Assets in custody · $1.4B to $1.7B
      Apr 30, 2014 to Nov 3, 2014
    • Employees · 50 to 48
      Apr 30, 2014 to Nov 3, 2014
    • State-registered IARs · 16 to 14
      Apr 30, 2014 to Nov 3, 2014
    • Discretionary RAUM · $1.4B to $1.7B
      Apr 30, 2014 to Nov 3, 2014
    • Non-discretionary RAUM · $21.8M to $21.2M
      Apr 30, 2014 to Nov 3, 2014
    • RAUM · $1.4B to $1.7B
      Apr 30, 2014 to Nov 3, 2014
    • Accounts · 4,852 to 5,810
      Jul 24, 2013 to Dec 9, 2013
    • Advisory employees · 10 to 7
      Jul 24, 2013 to Dec 9, 2013
    • Assets in custody · $1.1B to $1.4B
      Jul 24, 2013 to Dec 9, 2013
    • Employees · 49 to 50
      Jul 24, 2013 to Dec 9, 2013
    • State-registered IARs · 13 to 16
      Jul 24, 2013 to Dec 9, 2013
    • Discretionary RAUM · $1.1B to $1.4B
      Jul 24, 2013 to Dec 9, 2013
    • Non-discretionary RAUM · $24.6M to $21.8M
      Jul 24, 2013 to Dec 9, 2013
    • RAUM · $1.1B to $1.4B
      Jul 24, 2013 to Dec 9, 2013
    • Accounts · 4,515 to 4,852
      Jun 19, 2012 to Jan 2, 2013
    • Advisory employees · unset to 10.0
      Jun 19, 2012 to Jan 2, 2013
    • BD registered reps · unset to 1.0
      Jun 19, 2012 to Jan 2, 2013
    • Assets in custody · unset to 1074608022.0
      Jun 19, 2012 to Jan 2, 2013
    • Custody of client assets · false to true
      Jun 19, 2012 to Jan 2, 2013
    • Employees · unset to 49.0
      Jun 19, 2012 to Jan 2, 2013
    • State-registered IARs · unset to 13.0
      Jun 19, 2012 to Jan 2, 2013
    • Discretionary RAUM · $1.0B to $1.1B
      Jun 19, 2012 to Jan 2, 2013
    • Non-discretionary RAUM · $25.9M to $24.6M
      Jun 19, 2012 to Jan 2, 2013
    • RAUM · $1.0B to $1.1B
      Jun 19, 2012 to Jan 2, 2013
    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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026