DFX Intelligence
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SEC-registered adviser
F•••••• F•••••••• S••••••• I••
Latest filing Feb 25, 2026
First filing on the tape Feb 8, 2012 · 23 filings
SEC status approved since Mar 10, 1988
RAUM
$636M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$588M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$636M as of Feb 25, 2026
Feb 8, 2012$153M then
HNW client RAUM$484M as of Feb 25, 2026
Feb 2, 2018$149M then
State-registered IARs (5.B.3)4 as of Feb 25, 2026
Jan 25, 20133 then
Employees (5.A)5 as of Feb 25, 2026
Jan 25, 20135 then
Private funds: no history
RAUM +13% over the last fiscal year+16% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Feb 25, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $524,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$484M76%
- Individuals$103M16%
- Corporations and businesses$23.2M3.6%
- Charitable organizations$15.3M2.4%
- Pension and profit-sharing plans$10.0M1.6%
- Individual clients
- 455reported
- HNW clients
- 154reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,212reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| F•••••••• D••• F•••••• | Harrisburg, Pa | Jul 26, 1991 | 38 y | 0 |
| W•••••• B••••• A••••• | Harrisburg, Pa | Jan 2, 2001 | 37 y | 0 |
| T••••• K•••••• B••••••Certified Financial Planner | Harrisburg, Pa | Jun 24, 2009 | 22 y | 0 |
| C•••• K•••••• M••••••• | Harrisburg, Pa | Jan 15, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• W••••••• B••••• · Chief Compliance Officercontrolsince 06/2004 · owns less than 5%
- B••••••• T•••••• K•••••• · Secretarycontrolsince 01/2009 · owns less than 5%
- F••••••• F••••••••• D••• · Presidentcontrolsince 01/1986 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Harrisburg, Pa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,141 to 1,212Feb 27, 2025 to Feb 25, 2026
- HNW clients · 143 to 154Feb 27, 2025 to Feb 25, 2026
- Individual clients · 439 to 455Feb 27, 2025 to Feb 25, 2026
- State-registered IARs · 2 to 4Feb 27, 2025 to Feb 25, 2026
- Discretionary RAUM · $565M to $636MFeb 27, 2025 to Feb 25, 2026
- HNW RAUM · $429M to $484MFeb 27, 2025 to Feb 25, 2026
- Individual RAUM · $94.6M to $103MFeb 27, 2025 to Feb 25, 2026
- Pension RAUM · $8.7M to $10.0MFeb 27, 2025 to Feb 25, 2026
- RAUM · $565M to $636MFeb 27, 2025 to Feb 25, 2026
- Accounts · 1,092 to 1,141Mar 11, 2024 to Feb 27, 2025
- Corporate clients · unset to 6.0Mar 11, 2024 to Feb 27, 2025
- HNW clients · 120 to 143Mar 11, 2024 to Feb 27, 2025
- Individual clients · 445 to 439Mar 11, 2024 to Feb 27, 2025
- Employees · 6 to 5Mar 11, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 0Mar 11, 2024 to Feb 27, 2025
- State-registered IARs · 3 to 2Mar 11, 2024 to Feb 27, 2025
- Discretionary RAUM · $488M to $565MMar 11, 2024 to Feb 27, 2025
- HNW RAUM · $352M to $429MMar 11, 2024 to Feb 27, 2025
- Individual RAUM · $99.2M to $94.6MMar 11, 2024 to Feb 27, 2025
- Pension RAUM · $8.6M to $8.7MMar 11, 2024 to Feb 27, 2025
- RAUM · $488M to $565MMar 11, 2024 to Feb 27, 2025
- Accounts · 1,089 to 1,092Jun 14, 2023 to Mar 11, 2024
- Charity clients · 1.0 to unsetJun 14, 2023 to Mar 11, 2024
- Corporate clients · 4.0 to unsetJun 14, 2023 to Mar 11, 2024
- HNW clients · 130 to 120Jun 14, 2023 to Mar 11, 2024
- Individual clients · 420 to 445Jun 14, 2023 to Mar 11, 2024
- Pension plan clients · 2.0 to unsetJun 14, 2023 to Mar 11, 2024
- Discretionary RAUM · $405M to $488MJun 14, 2023 to Mar 11, 2024
- HNW RAUM · $304M to $352MJun 14, 2023 to Mar 11, 2024
- Individual RAUM · $72.7M to $99.2MJun 14, 2023 to Mar 11, 2024
- Pension RAUM · $3.5M to $8.6MJun 14, 2023 to Mar 11, 2024
- RAUM · $405M to $488MJun 14, 2023 to Mar 11, 2024
- Accounts · 1,011 to 1,089Sep 15, 2022 to Mar 8, 2023
- Corporate clients · 5 to 4Sep 15, 2022 to Mar 8, 2023
- HNW clients · 117 to 130Sep 15, 2022 to Mar 8, 2023
- Individual clients · 360 to 420Sep 15, 2022 to Mar 8, 2023
- Pension plan clients · 9 to 2Sep 15, 2022 to Mar 8, 2023
- Financial planning clients · unset to 0Sep 15, 2022 to Mar 8, 2023
- Discretionary RAUM · $487M to $405MSep 15, 2022 to Mar 8, 2023
- HNW RAUM · $346M to $304MSep 15, 2022 to Mar 8, 2023
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
- Business email
- f••@f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-886-1902reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-233-3813reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-233-8901reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/10624208reportedpublic record, Form ADV, Feb 25, 2026
- Website
- F••••••FINANCIALSERVICES.COMreportedpublic record, Form ADV, Feb 25, 2026
- Principal office phone
- 717-233-8901reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- f•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026