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.
SEC-registered adviser
Vicus Capital, Inc.
Latest filing Mar 20, 2026
First filing on the tape Mar 8, 2012 · 30 filings
SEC status approved since Oct 5, 2001
RAUM
$3.0B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$2.9B individuals and HNW
Advisors
88
registered through the firm on IAPD
RAUM per advisor
$34.0M
derived; firm RAUM over IAPD count
Employees
84
84 advisory (5.B.1)
Offices
40
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$3.0B as of Mar 20, 2026
Mar 8, 2012$988M then
HNW client RAUM$2.1B as of Mar 20, 2026
Mar 26, 2018$492M then
State-registered IARs (5.B.3)84 as of Mar 20, 2026
Mar 13, 20138 then
Employees (5.A)84 as of Mar 20, 2026
Mar 13, 201365 then
Private funds: no history
RAUM +16% over the last fiscal year+14% a year over threeIARs 89 to 84
Practice profile
derived from the filing of Mar 20, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $34.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $932,691derivedHNW RAUM over HNW clients
- Average account
- $301,308derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.1derived41 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -5.6%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.1B69%
- Individuals$823M27%
- Corporations and businesses$67.6M2.3%
- Pension and profit-sharing plans$34.5M1.2%
- Charitable organizations$792,0760.0%
- Individual clients
- 3,952reported
- HNW clients
- 2,218reported
- Pension plan clients
- 69reported
- Charitable clients
- 1reported
- Accounts
- 9,938reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=61.0derived
Advisors registered through the firm
79 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Randy Thomas HooverCertified Financial Planner | State College, Pa | Jun 19, 2002 | 45 y | 0 |
| Paul David MorgisCertified Financial Planner, Chartered Financial Consultant | Lakeland, Fl | Jun 25, 2002 | 36 y | 0 |
| Peter Adam OldzieyCertified Financial Planner | Dover, De | Apr 22, 2004 | 40 y | 0 |
| John Joseph Sulick | Bellefonte, Pa | Apr 28, 2004 | 25 y | 0 |
| Anthony Briselli | Mechanicsburg, Pa | Jan 3, 2005 | 29 y | 0 |
| Albert Daniel Dagostino | Mechanicsburg, Pa | Jan 31, 2005 | 37 y | 0 |
| Douglas Richard ClelanChartered Financial Consultant | Camp Hill, Pa | Jan 31, 2005 | 36 y | 0 |
| Francis Xavier FaubleChartered Financial Consultant | Lewisburg, Pa | Jan 31, 2005 | 41 y | 1 |
| Roy Keith Deloach | Tampa, Fl | Feb 1, 2005 | 23 y | 0 |
| Scott Eugene ShoupCertified Financial Planner | Sewickley, Pa | May 25, 2005 | 37 y | 0 |
| Glenn Herman WilliamsChartered Financial Consultant | State College, Pa | Jun 16, 2005 | 43 y | 0 |
| Peter Bowe MarmarasCertified Financial Planner, Chartered Financial Consultant | Bethlehem, Pa | Jul 7, 2005 | 38 y | 1 |
| Christopher Donald Smith | Bethlehem, Pa | Jul 8, 2005 | 34 y | 2 |
| Scott John PetrucciChartered Financial Consultant | St. Petersburg, Fl | Jul 13, 2005 | 32 y | 0 |
| John Christopher CorsoCertified Financial Planner | State College, Pa | Jun 29, 2006 | 22 y | 0 |
| Paul MasalskiChartered Financial Consultant | Phoenixville, Pa | Jan 22, 2007 | 47 y | 0 |
| Vincent Bruce Anderson | Erie, Pa | Apr 10, 2008 | 28 y | 0 |
| Kimberli Jean Casner | State College, Pa | Nov 3, 2010 | 20 y | 0 |
| John Glennon Mazzola | Labadie, Mo | Nov 17, 2010 | 43 y | 1 |
| Frank Darden Moore | Mifflinburg, Pa | Aug 23, 2011 | 19 y | 1 |
| Chris HolcombCertified Financial Planner | Columbia, Md | Sep 7, 2011 | 19 y | 4 |
| Jeffery Joseph Closz | State College, Pa | Nov 13, 2013 | 26 y | 1 |
| Jennifer A Newman | State College, Pa | Mar 31, 2014 | 25 y | 0 |
| Michael Christopher Assad | Bethlehem, Pa | Aug 19, 2014 | 23 y | 1 |
| Robert John Hinson | State College, Pa | Jan 2, 2015 | 13 y | 0 |
| David L Rosenblatt | State College, Pa | Jul 14, 2015 | 11 y | 0 |
| Tuula Katriina PaavolaCertified Financial Planner | White Plains, Ny | Dec 11, 2015 | 23 y | 0 |
| Kellie Ann Gillespie | Sewickley, Pa | Jun 23, 2016 | 16 y | 0 |
| Linda Marie Suda | Forty Fort, Pa | Oct 10, 2016 | 25 y | 0 |
| Jeffrey Malcolm Weatherford | State College, Pa | May 1, 2017 | 10 y | 0 |
| Doreen Leona KolenoChartered Financial Consultant | State College, Pa | Jul 10, 2017 | 23 y | 2 |
| Scott Everett Test | White Plains, Ny | Aug 8, 2017 | 11 y | 1 |
| John Frederick Straub | State College, Pa | Jan 4, 2018 | 19 y | 1 |
| Travis Alexander Drown | Columbia, Md | Jan 11, 2018 | 14 y | 0 |
| Andrew Wayne KernCertified Financial Planner, Chartered Financial Consultant | Camp Hill, Pa | Sep 4, 2018 | 21 y | 3 |
| John Stephen Kostukovich | John'S Island, Sc | Oct 3, 2018 | 34 y | 5 |
| Brett Tomas Emmons | Dover, De | Nov 1, 2018 | 11 y | 0 |
| Michael Arthur Gabel | Bridgewater, Nj | Apr 1, 2019 | 27 y | 1 |
| Brock Lowell Mcglothin | Lancaster, Oh | Jul 31, 2019 | 17 y | 1 |
| Robert Henry PfahlCertified Financial Planner | State College, Pa | Aug 30, 2019 | 30 y | 2 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 1.1% of current headcount8 left over 36 months
Left, latest
- William T Allen to Composition Wealth, LLCOct 21, 2025 · RIA to RIA
- Mark Stephen Boynton Jr to LPL Financial LLCFeb 11, 2025 · RIA to affiliated broker-dealer or bank
- Roger Theron Mcdonald to LPL Financial LLCFeb 11, 2025 · RIA to affiliated broker-dealer or bank
- David Michael Guyer to Hornor, Townsend & Kent, LLCJan 22, 2025 · RIA to affiliated broker-dealer or bank
- Jason Marcieski to Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 24, 2024 · RIA to wirehouse
- Gary Lee Beveridge to Exeter Financial, LLCMay 2, 2024 · RIA to RIA
- Jennifer Diane Manthey to Oneamerica Securities, Inc.Mar 4, 2024 · RIA to affiliated broker-dealer or bank
- Brae Adele Beggs to Olio Financial PlanningFeb 1, 2024 · RIA to RIA
- Barbara Jean Pettit to Equitable Advisors, LLCSep 5, 2023 · RIA to affiliated broker-dealer or bank
- Daniel Kukainis to Equitable Advisors, LLCSep 5, 2023 · RIA to affiliated broker-dealer or bank
- Tamara Gwen Kukainis to Equitable Advisors, LLCSep 5, 2023 · RIA to affiliated broker-dealer or bank
- Michael Scott Weisman to Cetera Advisor Networks LLCSep 30, 2022 · Other
- Devin Michael Williams to Commonwealth Financial NetworkJun 2, 2022 · RIA to affiliated broker-dealer or bank
- Courtney Elaine Hunsberger to Ameriprise Financial Services, LLCDec 3, 2021 · RIA to affiliated broker-dealer or bank
- Bryan David Barts to Cetera Investment Advisers LLCJan 29, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Zachery Dean Otwell from The Arkansas Financial Group, Inc.Jun 5, 2026 · RIA to RIA
- Andrew Spuhler from Osaic Wealth, Inc.May 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Matthew J Mog from Edward JonesOct 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Cody Wyatt Cummings from Summit Financial, LLCDec 12, 2024 · Affiliated broker-dealer or bank to independent RIA
- Jennifer Diane Manthey from Cetera Advisor Networks LLCJan 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- Kelly Burger from Cetera Investment Advisers LLCJan 17, 2024 · Affiliated broker-dealer or bank to independent RIA
- Christopher Peter Suttmeier from Morgan StanleySep 28, 2023 · Wirehouse to independent RIA
- Alejandro J Rodriguez from J.P. Morgan Securities LLCAug 8, 2023 · Wirehouse to independent RIA
- Jason Marcieski from Investment Professionals, Inc.May 9, 2023 · Other
- William T Allen from Robert W. Baird & Co. IncorporatedJan 26, 2023 · RIA to RIA
- Ralph A Mazzuoccolo from Pnc Managed Account Solutions, Inc.Sep 8, 2022 · Other
- Zackary David Levine from Ameriprise Financial Services, LLCOct 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- Amy Beth Sanor from Ameriprise Financial Services, LLCJul 2, 2021 · Affiliated broker-dealer or bank to independent RIA
- Barbara Jean Pettit from Advice And Planning ServicesJan 7, 2021 · Affiliated broker-dealer or bank to independent RIA
- Courtney Elaine Hunsberger from Nationwide Securities, LLCJan 3, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCFeb 11, 2025 · Charlotte, Nc
- 3 left for Equitable Advisors, LLCSep 5, 2023 · Marlton, Nj
- 4 left for Commonwealth Financial NetworkOct 25, 2019 · Bethlehem, Pa
- 2 joined from Nationwide Securities, LLCOct 1, 2019 · New Milford, Pa
- 2 joined from Integrated Wealth Concepts LLCSep 6, 2018 · Camp Hill, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jean Kimberli Casner · Chief Compliance Officercontrolsince 02/2005 · owns less than 5%
- Kramer Edward Dare · Chief Financial Officercontrolsince 01/2025 · owns less than 5%
- Kramer Eric Dare · President And Ceo President - Financecontrolsince 01/2010 · owns 75% or more
- Dawn Ellen Kay · Vice President - Financecontrolsince 01/2014 · owns less than 5%
- Nyree Clark Jacqueline Wigfield · Chief Operations Officercontrolsince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Aaron Sodenreal estatey
- Andrew KernLP sponsory
- Barry Hunterreal estatey
- Brock Lowell Mcglothinreal estatey
- Christopher Novielloinsurancey
- Douglas Richard ClelanLP sponsory
- Gary Lee Beveridgereal estatey
- John Stephen Kostukovichinsurancey
- Kim T. Schooleyinsurancey
- Richard W. Leetreal estatey
- Timothy D. Grunstrainsurancey
- Yvonne Leslie Reitemeyerreal estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| State College, Pa · principal | 23 | 1 | 0 | ||
| Camp Hill, Pa | 6 | 2 | 0 | ||
| Bethlehem, Pa | 6 | 0 | 0 | ||
| Tampa, Fl | 5 | 2 | 0 | ||
| Bridgewater, Nj | 4 | 0 | 0 | ||
| White Plains, Ny | 4 | 0 | 0 | ||
| Bedminster, Nj | 4 | 0 | 0 | ||
| Mechanicsburg, Pa | 3 | 0 | 0 | ||
| Columbia, Md | 3 | 0 | 0 | ||
| Grove City, Pa | 3 | 0 | 0 | ||
| Sewickley, Pa | 3 | 0 | 0 | ||
| Watertown, Ny | 3 | 1 | 0 | ||
| Lewisburg, Pa | 2 | 0 | 0 | ||
| Hallstead, Pa | 2 | 0 | 0 | ||
| Miami, Fl | 2 | 0 | 0 | ||
| Forty Fort, Pa | 2 | 0 | 0 | ||
| Stroudsburg, Pa | 2 | 0 | 0 | ||
| Dover, De | 2 | 0 | 0 | ||
| Lakeland, Fl | 2 | 0 | 0 | ||
| Lakewood, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bethlehem, PA5 employees
- Camp Hill, PA5 employees
- New York, NY4 employees
- Bridgewater, NJ4 employees
- Tampa, FL3 employees
- Columbia, MD3 employees
- Grove City, PA3 employees
- Mechanicsburg, PA2 employees
- Lakewood, PA2 employees
- Lewisburg, PA2 employees
- Sewickley, PA2 employees
- Miami, FL2 employees
- , 2 employees
- Bellefonte, PA2 employees
- Dover, DE2 employees
- Watertown, NY2 employees
- St. Petersburg, FL2 employees
- Charlotte, NC2 employees
- , 1 employees
- Columbia, MD1 employees
- Stroudsburg, PA1 employees
- Lakeland, FL1 employees
- Cleveland, OH1 employees
- Timonium, PA1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 20, 2026KAY, DAWN ELLEN (VICE PRESIDENT - FINANCE) left Schedule A between the filings of 2018-03-26 and 2026-03-20peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 9,058 to 9,938Mar 24, 2025 to Mar 20, 2026
- Advisory employees · 89 to 84Mar 24, 2025 to Mar 20, 2026
- BD registered reps · 68 to 61Mar 24, 2025 to Mar 20, 2026
- Charity clients · 2 to 1Mar 24, 2025 to Mar 20, 2026
- Corporate clients · 54 to 37Mar 24, 2025 to Mar 20, 2026
- HNW clients · 2,015 to 2,218Mar 24, 2025 to Mar 20, 2026
- Individual clients · 3,875 to 3,952Mar 24, 2025 to Mar 20, 2026
- Pension plan clients · 59 to 69Mar 24, 2025 to Mar 20, 2026
- Employees · 89 to 84Mar 24, 2025 to Mar 20, 2026
- Insurance-licensed employees · 9 to 8Mar 24, 2025 to Mar 20, 2026
- State-registered IARs · 89 to 84Mar 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $2.4B to $2.9BMar 24, 2025 to Mar 20, 2026
- HNW RAUM · $1.7B to $2.1BMar 24, 2025 to Mar 20, 2026
- Individual RAUM · $744M to $823MMar 24, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $151M to $123MMar 24, 2025 to Mar 20, 2026
- Pension RAUM · $27.0M to $34.5MMar 24, 2025 to Mar 20, 2026
- RAUM · $2.6B to $3.0BMar 24, 2025 to Mar 20, 2026
- Accounts · 8,430 to 9,058Jun 25, 2024 to Mar 24, 2025
- Advisory employees · 87 to 89Jun 25, 2024 to Mar 24, 2025
- BD registered reps · 65 to 68Jun 25, 2024 to Mar 24, 2025
- Charity clients · 3 to 2Jun 25, 2024 to Mar 24, 2025
- Corporate clients · 60 to 54Jun 25, 2024 to Mar 24, 2025
- HNW clients · 1,829 to 2,015Jun 25, 2024 to Mar 24, 2025
- Individual clients · 3,754 to 3,875Jun 25, 2024 to Mar 24, 2025
- Pension plan clients · 52 to 59Jun 25, 2024 to Mar 24, 2025
- Employees · 87 to 89Jun 25, 2024 to Mar 24, 2025
- Insurance-licensed employees · 8 to 9Jun 25, 2024 to Mar 24, 2025
- Financial planning clients · 251-500 to 251-500Jun 25, 2024 to Mar 24, 2025
- State-registered IARs · 87 to 89Jun 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $2.1B to $2.4BJun 25, 2024 to Mar 24, 2025
- HNW RAUM · $1.5B to $1.7BJun 25, 2024 to Mar 24, 2025
- Individual RAUM · $684M to $744MJun 25, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $153M to $151MJun 25, 2024 to Mar 24, 2025
- Pension RAUM · $23.3M to $27.0MJun 25, 2024 to Mar 24, 2025
- RAUM · $2.3B to $2.6BJun 25, 2024 to Mar 24, 2025
- Accounts · 8,080 to 8,430Feb 24, 2023 to Mar 19, 2024
- BD registered reps · 70 to 65Feb 24, 2023 to Mar 19, 2024
- Charity clients · 2 to 3Feb 24, 2023 to Mar 19, 2024
- Corporate clients · 41 to 60Feb 24, 2023 to Mar 19, 2024
- HNW clients · 1,583 to 1,829Feb 24, 2023 to Mar 19, 2024
Signals
16 dated events
- William T Allen left Vicus Capital, Inc. for Composition Wealth, Llc (registered 2025-11-11)Oct 21, 2025 · Advisor changed firm · fact
- Mark Stephen Boynton Jr left Vicus Capital, Inc. for Lpl Financial Llc (registered 2025-02-10)Feb 11, 2025 · Advisor changed firm · fact
- Roger Theron Mcdonald left Vicus Capital, Inc. for Lpl Financial Llc (registered 2025-02-10)Feb 11, 2025 · Advisor changed firm · fact
- 2 advisors left Vicus Capital, Inc. (Charlotte, NC) for LPL Financial LLC on the same dayFeb 11, 2025 · Team lift-out · derived
- David Michael Guyer left Vicus Capital, Inc. for Hornor, Townsend & Kent, Llc (registered 2025-03-24)Jan 22, 2025 · Advisor changed firm · fact
- Jason Marcieski left Vicus Capital, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2024-11-11)Sep 24, 2024 · Advisor changed firm · fact
- Gary Lee Beveridge left Vicus Capital, Inc. for Exeter Financial, Llc (registered 2024-05-01)May 2, 2024 · Advisor changed firm · fact
- Jennifer Diane Manthey left Vicus Capital, Inc. for Oneamerica Securities, Inc. (registered 2024-04-23)Mar 4, 2024 · Advisor changed firm · fact
- Brae Adele Beggs left Vicus Capital, Inc. for Olio Financial Planning (registered 2024-08-14)Feb 1, 2024 · Advisor changed firm · fact
- Barbara Jean Pettit left Vicus Capital, Inc. for Equitable Advisors, Llc (registered 2023-09-07)Sep 5, 2023 · Advisor changed firm · fact
- Daniel Kukainis left Vicus Capital, Inc. for Equitable Advisors, Llc (registered 2023-09-07)Sep 5, 2023 · Advisor changed firm · fact
- Tamara Gwen Kukainis left Vicus Capital, Inc. for Equitable Advisors, Llc (registered 2023-09-07)Sep 5, 2023 · Advisor changed firm · fact
- 3 advisors left Vicus Capital, Inc. (Marlton, NJ) for Equitable Advisors, LLC on the same daySep 5, 2023 · Team lift-out · derived
- Michael Scott Weisman left Vicus Capital, Inc. for Cetera Advisor Networks Llc (registered 2013-09-03)Sep 30, 2022 · Advisor changed firm · fact
- Devin Michael Williams left Vicus Capital, Inc. for Commonwealth Financial Network (registered 2023-11-17)Jun 2, 2022 · Advisor changed firm · fact
- Vicus Capital, Inc. reported 39 offices beyond its principal office, up from 33 (2019-03-19 to 2020-03-20)Mar 20, 2020 · Office count 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
- info@vicuscapital.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 855-558-4287reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/vicus-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- VICUSCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 855-558-4287reportedpublic record, Form ADV, Mar 20, 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
- $34.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026