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.
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SEC-registered adviser
C••••••••• F•••••••• P•••••••• I•••
Latest filing May 19, 2026
First filing on the tape Feb 28, 2012 · 32 filings
SEC status approved since Jul 10, 1998
RAUM
$434M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
70%
$306M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$72.4M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$434M as of May 19, 2026
May 18, 2012$136M then
HNW client RAUM$225M as of May 19, 2026
May 10, 2018$71.8M then
State-registered IARs (5.B.3)6 as of May 19, 2026
May 24, 20135 then
Employees (5.A)6 as of May 19, 2026
May 24, 20135 then
Private funds: no history
RAUM +38% over the last fiscal year+25% a year over threeIARs 6 to 6
Practice profile
derived from the filing of May 19, 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
- $72.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 96derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $733,314derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +13%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M52%
- Pension and profit-sharing plans$87.8M20%
- Individuals$80.6M19%
- Corporations and businesses$37.5M8.6%
- Charitable organizations$3.0M0.7%
- Individual clients
- 464reported
- HNW clients
- 113reported
- Pension plan clients
- 4reported
- Charitable clients
- 3reported
- Accounts
- 592reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••• W••••••••• H••• | East Petersburg, Pa | Feb 19, 1991 | 45 y | 0 |
| R•••••• J••• W••••••Certified Financial Planner | East Petersburg, Pa | Feb 19, 1991 | 43 y | 0 |
| M•••••• V•••••• K••••••• | East Petersburg, Pa | Aug 31, 2005 | 30 y | 0 |
| W••••• L•• K••• | East Petersburg, Pa | Jun 4, 2007 | 20 y | 0 |
| P•••••• J••••• C••••••Certified Financial Planner | East Petersburg, Pa | Aug 23, 2012 | 29 y | 5 |
| D•••• P••• H••••• | East Petersburg, Pa | Jul 6, 2021 | 25 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
- P•••••• J••••• C•••••• from F•• S••••••••• C•••••••••Aug 23, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• R••••••• J••• · President & Chief Compliance Officer & Super Account Administratorcontrolsince 01/1995 · 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 |
|---|---|---|---|---|---|
| East Petersburg, Pa · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 578 to 592May 13, 2025 to May 19, 2026
- Charity clients · 2 to 3May 13, 2025 to May 19, 2026
- Corporate clients · 6 to 8May 13, 2025 to May 19, 2026
- HNW clients · 110 to 113May 13, 2025 to May 19, 2026
- Individual clients · 456 to 464May 13, 2025 to May 19, 2026
- Financial planning clients · 1-10 to 0May 13, 2025 to May 19, 2026
- Discretionary RAUM · $384M to $430MMay 13, 2025 to May 19, 2026
- HNW RAUM · $198M to $225MMay 13, 2025 to May 19, 2026
- Individual RAUM · $70.2M to $80.6MMay 13, 2025 to May 19, 2026
- Non-discretionary RAUM · $35.3M to $4.3MMay 13, 2025 to May 19, 2026
- Pension RAUM · $82.6M to $87.8MMay 13, 2025 to May 19, 2026
- RAUM · $419M to $434MMay 13, 2025 to May 19, 2026
- Accounts · 556 to 578Nov 14, 2024 to May 13, 2025
- Business name · C••••••••• F•••••••• P••••••• I•• to C••••••••• F•••••••• P•••••••• I•••Nov 14, 2024 to May 13, 2025
- Corporate clients · 5 to 6Nov 14, 2024 to May 13, 2025
- Individual clients · 434 to 456Nov 14, 2024 to May 13, 2025
- Pension plan clients · 5 to 4Nov 14, 2024 to May 13, 2025
- Financial planning clients · 1-10 to 1-10Nov 14, 2024 to May 13, 2025
- Legal name · C••••••••• F•••••••• P••••••• I•• to C••••••••• F•••••••• P•••••••• I•••Nov 14, 2024 to May 13, 2025
- Discretionary RAUM · $330M to $384MNov 14, 2024 to May 13, 2025
- HNW RAUM · $182M to $198MNov 14, 2024 to May 13, 2025
- Individual RAUM · $64.4M to $70.2MNov 14, 2024 to May 13, 2025
- Non-discretionary RAUM · $33.0M to $35.3MNov 14, 2024 to May 13, 2025
- Pension RAUM · $78.6M to $82.6MNov 14, 2024 to May 13, 2025
- RAUM · $363M to $419MNov 14, 2024 to May 13, 2025
- Accounts · 493 to 556May 26, 2023 to May 22, 2024
- Corporate clients · 4 to 5May 26, 2023 to May 22, 2024
- HNW clients · 125 to 110May 26, 2023 to May 22, 2024
- Individual clients · 356 to 434May 26, 2023 to May 22, 2024
- Pension plan clients · 6 to 5May 26, 2023 to May 22, 2024
- Discretionary RAUM · $281M to $330MMay 26, 2023 to May 22, 2024
- HNW RAUM · $108M to $182MMay 26, 2023 to May 22, 2024
- Individual RAUM · $103M to $64.4MMay 26, 2023 to May 22, 2024
- Non-discretionary RAUM · $33.4M to $33.0MMay 26, 2023 to May 22, 2024
- Pension RAUM · $75.9M to $78.6MMay 26, 2023 to May 22, 2024
- RAUM · $315M to $363MMay 26, 2023 to May 22, 2024
- Accounts · 461 to 493Oct 29, 2022 to May 24, 2023
- HNW clients · 111 to 125Oct 29, 2022 to May 24, 2023
- Individual clients · 384 to 356Oct 29, 2022 to May 24, 2023
- Pension plan clients · 3 to 6Oct 29, 2022 to May 24, 2023
Signals
1 dated events
- C••••••••• F•••••••• P•••••••• I••• reported RAUM $118.4M, down 59% from $288.1M (2018-01-08 to 2018-05-10)May 10, 2018 · RAUM change · derived
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
- cfpi@compcos.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-569-6466reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-569-6667reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-569-6667reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- COMPCOS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-569-6667reportedpublic record, Form ADV, May 19, 2026
- Contact form
- compcos.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- compcos.com/teamreportedpublished 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
- $72.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026