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

Asset Planning Services Ltd.

Former SEC-registered adviserHarleysville, PennsylvaniaCRD 105727SEC 801-30830IAPD

Latest filing May 28, 2021

First filing on the tape Feb 14, 2012 · 24 filings

RAUM

$816M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

93%

$760M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

24 filings and snapshots on the tape

RAUM$816M as of Mar 30, 2021

Feb 14, 2012$641M then

HNW client RAUM$720M as of Mar 30, 2021

Mar 29, 2018$710M then

State-registered IARs (5.B.3)5 as of Mar 30, 2021

Feb 14, 20120 then

Employees (5.A)19 as of Mar 30, 2021

Mar 26, 201312 then

Private funds: no history

RAUM -5.9% over the last fiscal year+0.5% a year over threeIARs 7 to 6

Practice profile

derived from the filing of May 28, 2021; every figure names its basis

RAUM per advisor: $136MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 42derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.3MderivedHNW RAUM over HNW clients
Average account: $649,881derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 4.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.0derivedItem 5.A over advisors
Advisors per office: 3.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: -5.9%derivedbetween the last two annual amendments
Advisor growth, one year: -29%derivedItem 5.B.3 between annual amendments
Client growth, one year: -13%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, educational seminars, otherreportedItem 5.G
Custody: $704M, 215 clientsreportedItem 9.A
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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$720M88%
Individuals$40.3M4.9%
Charitable organizations$39.4M4.8%
Corporations and businesses$16.4M2.0%

Individual clients: 81reported
HNW clients: 168reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,255reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $704M for 215 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

Left, latest

Sean Mark Roberts to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Daniel James Esquirell to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Jordan Marc Shaw to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Richard John Volpe to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Bethany Jill Landis to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Kristen L Barker to Wescott Financial Advisory Group LLC
Dec 31, 2021 · RIA to RIA
Michael Alan Halvorsen to Summit Financial, LLC
Oct 20, 2020 · RIA to affiliated broker-dealer or bank
Joseph Michael Bates to Summit Financial, LLC
Oct 20, 2020 · RIA to affiliated broker-dealer or bank

Joined, latest

Daniel James Esquirell from Independence Advisors Inc
Mar 21, 2007 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

6 left for Wescott Financial Advisory Group LLC
Dec 31, 2021 · Harleysville, Pa · Firm absorbed
2 left for Summit Financial, LLC
Oct 20, 2020 · Harleysville, Pa

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Veronica Katherine Blackney · Director, Estate And Charitable Planningcontrol
since 10/2019 · owns less than 5%
James Daniel Esquirell · Senior Financial Planner, Director Of Financial Planning And Investment Advisory; Board Of Directorscontrol
since 06/2020 · owns less than 5%
Lyn Michele Hewitt · Director, Tax Planning And Preperationcontrol
since 02/2016 · owns less than 5%
Jill Bethany Landis · Senior Financial Planner, Director Of Clients Services; Board Of Directorscontrol
since 06/2020 · owns less than 5%
Mark Sean Roberts · Chief Investment Officer; Board Of Directorscontrol
since 10/2004 · owns 10% to 25%
John Richard Volpe · Chief Compliance Officer (5/2021); President/Founder; Board Of Directorscontrol
since 09/1987 · owns 25% to 50%
Michelle Rhodes · Child Of Richard Volpe
since 10/2012 · owns 10% to 25%
Matthew Volpe · Child Of Richard Volpe
since 10/2012 · owns 10% to 25%
Megan Volpe · Child Of Richard Volpe
since 10/2012 · owns 10% to 25%
Melissa Volpe · Child Of Richard Volpe
since 10/2012 · owns 10% to 25%

Related persons

Schedule D 7.A

Michele Hewitt
insurancey

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Advisory employees · 5 to 6
Mar 30, 2021 to May 28, 2021
Employees · 19 to 18
Mar 30, 2021 to May 28, 2021
State-registered IARs · 5 to 6
Mar 30, 2021 to May 28, 2021
Accounts · 1,414 to 1,255
Jan 29, 2021 to Mar 30, 2021
Charity clients · 5.0 to unset
Jan 29, 2021 to Mar 30, 2021
HNW clients · 190 to 168
Jan 29, 2021 to Mar 30, 2021
Individual clients · 95 to 81
Jan 29, 2021 to Mar 30, 2021
Assets in custody · $753M to $704M
Jan 29, 2021 to Mar 30, 2021
Employees · 16 to 19
Jan 29, 2021 to Mar 30, 2021
Financial planning clients · 251-500 to 101-250
Jan 29, 2021 to Mar 30, 2021
Discretionary RAUM · $860M to $811M
Jan 29, 2021 to Mar 30, 2021
HNW RAUM · $765M to $720M
Jan 29, 2021 to Mar 30, 2021
Individual RAUM · $48.5M to $40.3M
Jan 29, 2021 to Mar 30, 2021
Non-discretionary RAUM · $6.3M to $4.4M
Jan 29, 2021 to Mar 30, 2021
RAUM · $867M to $816M
Jan 29, 2021 to Mar 30, 2021
Advisory employees · 7 to 5
Jun 30, 2020 to Nov 12, 2020
Employees · 18 to 16
Jun 30, 2020 to Nov 12, 2020
State-registered IARs · 7 to 5
Jun 30, 2020 to Nov 12, 2020
Accounts · 1,616 to 1,414
Oct 25, 2019 to Mar 30, 2020
Advisory employees · 5 to 7
Oct 25, 2019 to Mar 30, 2020
Charity clients · unset to 5.0
Oct 25, 2019 to Mar 30, 2020
HNW clients · 188 to 190
Oct 25, 2019 to Mar 30, 2020
Individual clients · 103 to 95
Oct 25, 2019 to Mar 30, 2020
Assets in custody · $644M to $753M
Oct 25, 2019 to Mar 30, 2020
Employees · 20 to 18
Oct 25, 2019 to Mar 30, 2020
State-registered IARs · 5 to 7
Oct 25, 2019 to Mar 30, 2020
Discretionary RAUM · $748M to $860M
Oct 25, 2019 to Mar 30, 2020
HNW RAUM · $667M to $765M
Oct 25, 2019 to Mar 30, 2020
Individual RAUM · $49.2M to $48.5M
Oct 25, 2019 to Mar 30, 2020
Non-discretionary RAUM · $13.8M to $6.3M
Oct 25, 2019 to Mar 30, 2020
RAUM · $762M to $867M
Oct 25, 2019 to Mar 30, 2020
Accounts · 1,712 to 1,616
Mar 29, 2018 to Feb 15, 2019
HNW clients · 192 to 188
Mar 29, 2018 to Feb 15, 2019
Individual clients · 98 to 103
Mar 29, 2018 to Feb 15, 2019
Assets in custody · $671M to $644M
Mar 29, 2018 to Feb 15, 2019
Employees · 18 to 20
Mar 29, 2018 to Feb 15, 2019
Discretionary RAUM · $774M to $748M
Mar 29, 2018 to Feb 15, 2019
HNW RAUM · $710M to $667M
Mar 29, 2018 to Feb 15, 2019
Individual RAUM · $51.1M to $49.2M
Mar 29, 2018 to Feb 15, 2019
Non-discretionary RAUM · $30.0M to $13.8M
Mar 29, 2018 to Feb 15, 2019

Signals

5 dated events

W. Erik Morris (Chief Operating Officer / Chief Compliance Officer) no longer on Schedule A of Asset Planning Services Ltd. (listed 2021-03-30, absent 2021-05-28)
May 28, 2021 · Control person left · inference
Jill Bethany Landis (Senior Financial Planner, Director Of Clients Services; Board Of Directors) appeared on Schedule A of Asset Planning Services Ltd.
Nov 12, 2020 · Control person joined · fact
James Daniel Esquirell (Senior Financial Planner, Director Of Financial Planning And Investment Advisory; Board Of Directors) appeared on Schedule A of Asset Planning Services Ltd.
Nov 12, 2020 · Control person joined · fact
Lyn Michele Hewitt (Director, Tax Planning And Preperation) appeared on Schedule A of Asset Planning Services Ltd.
Nov 12, 2020 · Control person joined · fact
Veronica Katherine Blackney (Director, Estate And Charitable Planning) appeared on Schedule A of Asset Planning Services Ltd.
Nov 12, 2020 · Control person joined · fact

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