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
Psi Capital Management
Legal name Planning Strategies, Inc.
Latest filing Mar 18, 2026
First filing on the tape Feb 21, 2018 · 24 filings
SEC status approved since Mar 23, 2018
RAUM
$385M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$376M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$38.5M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$385M as of Mar 18, 2026
Mar 21, 2019$172M then
HNW client RAUM$230M as of Mar 18, 2026
Mar 21, 2019$72.5M then
State-registered IARs (5.B.3)11 as of Mar 18, 2026
Mar 21, 201911 then
Employees (5.A)11 as of Mar 18, 2026
Mar 21, 201911 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 7 to 11
Practice profile
derived from the filing of Mar 18, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $38.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $272,162derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +57%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $254MreportedItem 5.I
- Custody
- $85.4M, 161 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$230M60%
- Individuals$146M38%
- Corporations and businesses$6.2M1.6%
- Charitable organizations$2.5M0.6%
- Individual clients
- 409reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- 4reported
- Accounts
- 1,414reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $85.4M for 161 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Scott Glenn Smith | Lancaster, Pa | Jan 2, 2002 | 35 y | 1 |
| Steven Mark Mitchell | Lancaster, Pa | Jan 2, 2002 | 35 y | 1 |
| Vanessa Marie Zook | Lancaster, Pa | Sep 6, 2017 | 13 y | 0 |
| Matthew Cyril Staub | Lancaster, Pa | Apr 16, 2018 | 15 y | 1 |
| Gregory Cyril Staub | Harrisburg, Pa | Apr 16, 2018 | 41 y | 1 |
| James Wesley Balthaser | Hanover, Pa | May 10, 2018 | 26 y | 2 |
| Karl Allen Lehman | Hanover, Pa | May 10, 2018 | 26 y | 2 |
| Thomas Edward Houck | Hanover, Pa | Jul 17, 2018 | 43 y | 2 |
| Bryce Howard BrennanCertified Financial Planner | Lancaster, Pa | May 17, 2023 | 13 y | 1 |
| Kiah Rae Fowler | Lancaster, Pa | Oct 7, 2024 | 12 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
- Aaron Michael Horner to Arista Wealth Management, LLCOct 21, 2016 · Other
Joined, latest
- Bryce Howard Brennan from Transition Wealth Management LLCMay 17, 2023 · Other
- Thomas Edward Houck from Pilot Capital Management, Inc.Jul 17, 2018 · Other
- James Wesley Balthaser from Pilot Capital Management, Inc.May 10, 2018 · Other
- Karl Allen Lehman from Pilot Capital Management, Inc.May 10, 2018 · Other
- Matthew Cyril Staub from Pilot Capital Management, Inc.Apr 16, 2018 · Other
- Gregory Cyril Staub from Pilot Capital Management, Inc.Apr 16, 2018 · Other
- Steven Mark Mitchell from Investacorp Advisory Services IncJan 2, 2002 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from Pilot Capital Management, Inc.Jun 1, 2018 · Hanover, Pa · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Glenn Scott Smith · Ccocontrolsince 10/2001 · owns 25% to 50%
- Cyril Gregory Staub · Ciocontrolsince 06/2018 · owns 25% to 50%
- Cyril Matthew Staub · Coocontrolsince 01/2019 · owns 10% to 25%
- Marie Vanessa Zook · Human Resource Officercontrolsince 01/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 10 | 0 | 0 | ||
| Hanover, Pa | 5 | 0 | 0 | ||
| Harrisburg, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Camp Hill, PA3 employees
- Hershey, PA3 employees
- Hanover, PA2 employees
- Lancaster, PA1 employees
- Lititz, PA1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 18, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $348,126,021 to $384,836,994, advisors 7 to 11, private clients 705 to 503, offices 3 to 3 (2025-03-27 to 2026-03-18)peers: independent wealth managers, $100M to $500M (5,676)
- advisor count surgeChange between filings · filing Mar 18, 2026advisory representatives (Item 5.B.3) moved from 7.0 to 11.0 (+57.0%) between the annual amendments of 2025-03-27 and 2026-03-18; the peer median change was 0.0% (965 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 98% percentile
- custody status changedChange between filings · filing Mar 18, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-27, yes on the filing of 2026-03-18peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,344 to 1,414Mar 27, 2025 to Mar 18, 2026
- Advisory employees · 6 to 7Mar 27, 2025 to Mar 18, 2026
- Charity clients · unset to 4.0Mar 27, 2025 to Mar 18, 2026
- Corporate clients · 6 to 7Mar 27, 2025 to Mar 18, 2026
- HNW clients · 153 to 94Mar 27, 2025 to Mar 18, 2026
- Individual clients · 552 to 409Mar 27, 2025 to Mar 18, 2026
- Assets in custody · unset to 85446389.0Mar 27, 2025 to Mar 18, 2026
- Custody of client assets · false to trueMar 27, 2025 to Mar 18, 2026
- Employees · 8 to 11Mar 27, 2025 to Mar 18, 2026
- Financial planning clients · More than 500 to 251-500Mar 27, 2025 to Mar 18, 2026
- State-registered IARs · 7 to 11Mar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $346M to $383MMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $220M to $230MMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $120M to $146MMar 27, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $2.0M to $2.1MMar 27, 2025 to Mar 18, 2026
- RAUM · $348M to $385MMar 27, 2025 to Mar 18, 2026
- Accounts · 1,313 to 1,344Mar 7, 2024 to Mar 27, 2025
- Advisory employees · 5 to 6Mar 7, 2024 to Mar 27, 2025
- Charity clients · 2.0 to unsetMar 7, 2024 to Mar 27, 2025
- Corporate clients · 2 to 6Mar 7, 2024 to Mar 27, 2025
- HNW clients · 181 to 153Mar 7, 2024 to Mar 27, 2025
- Individual clients · 551 to 552Mar 7, 2024 to Mar 27, 2025
- Employees · 10 to 8Mar 7, 2024 to Mar 27, 2025
- Financial planning clients · More than 500 to More than 500Mar 7, 2024 to Mar 27, 2025
- State-registered IARs · 9 to 7Mar 7, 2024 to Mar 27, 2025
- Other offices · 5 to 3Mar 7, 2024 to Mar 27, 2025
- Discretionary RAUM · $285M to $346MMar 7, 2024 to Mar 27, 2025
- HNW RAUM · $172M to $220MMar 7, 2024 to Mar 27, 2025
- Individual RAUM · $102M to $120MMar 7, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.9M to $2.0MMar 7, 2024 to Mar 27, 2025
- RAUM · $287M to $348MMar 7, 2024 to Mar 27, 2025
- Accounts · 1,206 to 1,313Mar 3, 2023 to Mar 7, 2024
- Corporate clients · unset to 2.0Mar 3, 2023 to Mar 7, 2024
- HNW clients · 174 to 181Mar 3, 2023 to Mar 7, 2024
- Individual clients · 515 to 551Mar 3, 2023 to Mar 7, 2024
- Employees · 12 to 10Mar 3, 2023 to Mar 7, 2024
- State-registered IARs · 10 to 9Mar 3, 2023 to Mar 7, 2024
- Discretionary RAUM · $241M to $285MMar 3, 2023 to Mar 7, 2024
- HNW RAUM · $162M to $172MMar 3, 2023 to Mar 7, 2024
- Individual RAUM · $80.2M to $102MMar 3, 2023 to Mar 7, 2024
Signals
4 dated events
- Mark Steven Mitchell (Cfo) no longer on Schedule A of Psi Capital Management (listed 2021-10-28, absent 2022-01-31)Jan 31, 2022 · Control person left · inference
- Cyril Matthew Staub (Coo) appeared on Schedule A of Psi Capital ManagementMar 21, 2019 · Control person joined · fact
- Marie Vanessa Zook (Creative Director) appeared on Schedule A of Psi Capital ManagementMar 21, 2019 · Control person joined · fact
- Planning Strategies, Inc. filed its initial SEC registration (Form ADV)Feb 21, 2018 · First SEC registration · fact
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@visitpsionline.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-207-7123reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-291-1529reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 984-208-8887reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/psicapitalmanagementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- VISITPSIONLINE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 717-207-7123reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- visitpsionline.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- visitpsionline.com/who-we-arereportedpublished 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
- $38.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026