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
Warren Financial Service
Legal name Warren Financial Service & Associates, Inc.
Latest filing Aug 3, 2022
First filing on the tape Mar 14, 2012 · 20 filings
RAUM
$366M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
77%
$281M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$80.1M gross assets
History
20 filings and snapshots on the tape
RAUM$366M as of Mar 2, 2022
Mar 14, 2012$55.7M then
HNW client RAUM$225M as of Mar 2, 2022
Feb 28, 2018$110M then
State-registered IARs (5.B.3)7 as of Mar 2, 2022
Mar 5, 20154 then
Employees (5.A)11 as of Mar 2, 2022
Mar 5, 20157 then
Private funds1 as of Mar 2, 2022
Mar 14, 20121 then
RAUM +27% over the last fiscal year+29% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Aug 3, 2022; every figure names its basis
- RAUM per advisor
- $52.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.3%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- $366MreportedItem 5.I
- Custody
- $80.1M, 89 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$225M62%
- Pooled investment vehicles$83.7M23%
- Individuals$56.3M15%
- Charitable organizations$654,6730.2%
- Individual clients
- 208reported
- HNW clients
- 107reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 363reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $80.1M for 89 clientsreported
- Compensation
- % of AUM, performancereported
- 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
- Scott Shellhamer to Ep Wealth AdvisorsDec 22, 2022 · RIA to RIA
- Michael Troy Logan to Raymond James Financial Services Advisors, IncDec 22, 2022 · RIA to affiliated broker-dealer or bank
- Robert A Mccarty to Ep Wealth AdvisorsDec 22, 2022 · RIA to RIA
- Jordan T Sisson to Ep Wealth AdvisorsDec 22, 2022 · RIA to RIA
- John Joseph O'Toole to Ep Wealth AdvisorsDec 22, 2022 · RIA to RIA
- Devin Raymond Paul to Ep Wealth AdvisorsDec 22, 2022 · RIA to RIA
Joined, latest
- John Joseph O'Toole from RBC Capital Markets, LLCNov 12, 2014 · Other
- Scott Shellhamer from Bny Mellon Advisors, Inc.Mar 26, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Ep Wealth AdvisorsDec 22, 2022 · Exton, Pa · Firm absorbed
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Big Dividend Hedge Strategy | Hedge Fund | $74.8M | 76 | Mar 14, 2012 |
| Wfs Angels LPno longer reported | Venture Capital Fund | $129,928 | 8 | Mar 5, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Alan Randall Warren · Chief Compliance Officercontrolsince 01/2001 · owns 75% or more
- Karen Copeland · Director Technologysince 01/2021 · owns less than 5%
- Troy Michael Logan · Managing Partnersince 01/2021 · owns less than 5%
- A Robert Mccarty · Managing Partnersince 01/2021 · owns less than 5%
- Joseph John O'Toole · Managing Partnersince 01/2021 · owns less than 5%
- Scott Shellhamer · Managing Partnersince 01/2021 · owns less than 5%
- Kyle Justin Sisson · Sr Financial Analystsince 01/2021 · owns less than 5%
- Austin Warren · Sr Financial Analystsince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- Warren Financial Serviceinvestment adviserpooled vehicle sponsoryRAUM $366M
Advisers that list Warren Financial Service as a related person
- 119066 y
Offices
Schedule D 1.F, the 25 largest
- Atlanta, GA1 employees
- Hilton Head, SC1 employees
What changed
consecutive filings, newest first
- Accounts · 316 to 363Feb 16, 2021 to Mar 2, 2022
- Advisory employees · 6 to 7Feb 16, 2021 to Mar 2, 2022
- HNW clients · 104 to 107Feb 16, 2021 to Mar 2, 2022
- Individual clients · 212 to 208Feb 16, 2021 to Mar 2, 2022
- Pooled vehicle clients · 0 to 1Feb 16, 2021 to Mar 2, 2022
- Assets in custody · $61.0M to $80.1MFeb 16, 2021 to Mar 2, 2022
- Employees · 9 to 11Feb 16, 2021 to Mar 2, 2022
- State-registered IARs · 6 to 7Feb 16, 2021 to Mar 2, 2022
- Discretionary RAUM · $284M to $361MFeb 16, 2021 to Mar 2, 2022
- HNW RAUM · $232M to $225MFeb 16, 2021 to Mar 2, 2022
- Individual RAUM · $54.7M to $56.3MFeb 16, 2021 to Mar 2, 2022
- Non-discretionary RAUM · $3.8M to $4.5MFeb 16, 2021 to Mar 2, 2022
- Pooled vehicle RAUM · unset to 83732138.0Feb 16, 2021 to Mar 2, 2022
- RAUM · $288M to $366MFeb 16, 2021 to Mar 2, 2022
- Related adviser · false to trueFeb 16, 2021 to Mar 2, 2022
- Accounts · 285 to 316May 5, 2020 to Feb 16, 2021
- Advisory employees · 5 to 6May 5, 2020 to Feb 16, 2021
- HNW clients · 87 to 104May 5, 2020 to Feb 16, 2021
- Individual clients · 198 to 212May 5, 2020 to Feb 16, 2021
- Assets in custody · $43.6M to $61.0MMay 5, 2020 to Feb 16, 2021
- Employees · 8 to 9May 5, 2020 to Feb 16, 2021
- State-registered IARs · 5 to 6May 5, 2020 to Feb 16, 2021
- Discretionary RAUM · $207M to $284MMay 5, 2020 to Feb 16, 2021
- HNW RAUM · $165M to $232MMay 5, 2020 to Feb 16, 2021
- Individual RAUM · $44.9M to $54.7MMay 5, 2020 to Feb 16, 2021
- Non-discretionary RAUM · $3.7M to $3.8MMay 5, 2020 to Feb 16, 2021
- RAUM · $210M to $288MMay 5, 2020 to Feb 16, 2021
- Wrap assets (manager) · $210M to $0May 5, 2020 to Feb 16, 2021
- Wrap assets (sponsor) · $210M to $0May 5, 2020 to Feb 16, 2021
- Accounts · 274 to 285Mar 6, 2019 to Mar 15, 2020
- HNW clients · 77 to 87Mar 6, 2019 to Mar 15, 2020
- Individual clients · 196 to 198Mar 6, 2019 to Mar 15, 2020
- Assets in custody · $36.0M to $43.6MMar 6, 2019 to Mar 15, 2020
- Private funds · 2 to 1Mar 6, 2019 to Mar 15, 2020
- Discretionary RAUM · $166M to $207MMar 6, 2019 to Mar 15, 2020
- HNW RAUM · $107M to $165MMar 6, 2019 to Mar 15, 2020
- Individual RAUM · $61.6M to $44.9MMar 6, 2019 to Mar 15, 2020
- Non-discretionary RAUM · $3.0M to $3.7MMar 6, 2019 to Mar 15, 2020
- RAUM · $169M to $210MMar 6, 2019 to Mar 15, 2020
- Wrap assets (manager) · $169M to $210MMar 6, 2019 to Mar 15, 2020
Signals
8 dated events
- Devin Raymond Paul left Warren Financial Service for Ep Wealth Advisors (registered 2022-12-20)Dec 22, 2022 · Advisor changed firm · fact
- Jordan T Sisson left Warren Financial Service for Ep Wealth Advisors (registered 2024-11-21)Dec 22, 2022 · Advisor changed firm · fact
- Scott Shellhamer left Warren Financial Service for Ep Wealth Advisors (registered 2023-08-08)Dec 22, 2022 · Advisor changed firm · fact
- Michael Troy Logan left Warren Financial Service for Raymond James Financial Services Advisors, Inc (registered 2022-12-09)Dec 22, 2022 · Advisor changed firm · fact
- John Joseph O'Toole left Warren Financial Service for Ep Wealth Advisors (registered 2022-12-20)Dec 22, 2022 · Advisor changed firm · fact
- Robert A Mccarty left Warren Financial Service for Ep Wealth Advisors (registered 2024-11-22)Dec 22, 2022 · Advisor changed firm · fact
- Warren Financial Service's advisors moved to EP Wealth Advisors (Exton, PA): 3 of 6 registered, on the same dayDec 22, 2022 · Firm absorbed (people side) · derived
- Warren Financial Service filed its initial SEC registration (Form ADV)Mar 27, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Warren Financial Service · Venture Capitalshared crd · organization
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