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
Private Client Services, LLC
Latest filing Mar 14, 2026
First filing on the tape Dec 6, 2011 · 50 filings
SEC status approved since May 25, 2010
RAUM
$1.4B
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
99%
$1.4B individuals and HNW
Advisors
64
registered through the firm on IAPD
RAUM per advisor
$21.6M
derived; firm RAUM over IAPD count
Employees
60
50 advisory (5.B.1)
Offices
23
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$1.4B as of Mar 14, 2026
Feb 16, 2012$56.9M then
HNW client RAUM$365M as of Mar 14, 2026
Mar 31, 2022$148M then
State-registered IARs (5.B.3)50 as of Mar 14, 2026
Apr 1, 201352 then
Employees (5.A)60 as of Mar 14, 2026
Apr 1, 201352 then
Private funds: no history
RAUM +32% over the last fiscal year+28% a year over threeIARs 50 to 50offices 20 to 23
Practice profile
derived from the filing of Mar 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $21.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $157,798derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.7derived24 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +171%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $1.4BreportedItem 5.I
- 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 a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.0B73%
- High-net-worth individuals$365M26%
- Corporations and businesses$7.2M0.5%
- Pension and profit-sharing plans$750,8410.1%
- Individual clients
- 8,529reported
- HNW clients
- 194reported
- Pension plan clients
- 35reported
- Charitable clients
- n/areported
- Accounts
- 8,765reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- $1.4B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=60.0derived
Advisors registered through the firm
57 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ernest Aubrey SampsonChartered Financial Consultant | Louisville, Ky | Nov 6, 2001 | 36 y | 1 |
| Eric David BunnellCertified Financial Planner | Louisville, Ky | Dec 20, 2001 | 33 y | 1 |
| James Patrick Doll | Louisville, Ky | Jun 3, 2002 | 32 y | 0 |
| Sammy Joseph Kudmani | Louisville, Ky | Sep 9, 2003 | 29 y | 1 |
| Jason Garrick Langley | Louisville, Ky | Mar 24, 2005 | 25 y | 2 |
| Alex P Lindle | Louisville, Ky | Mar 28, 2008 | 26 y | 1 |
| Richard Joseph Robinson | Louisville, Ky | Nov 19, 2008 | 40 y | 3 |
| Thomas Andrew Bryant | Louisville, Ky | Mar 20, 2009 | 28 y | 3 |
| Charles Frederick Neal | Jeffersonville, In | Jan 4, 2010 | 24 y | 2 |
| Brittany Spiller Ammerman | Louisville, Ky | Apr 12, 2010 | 16 y | 0 |
| Gretchen Kay MahaffeyCertified Financial Planner | Louisville, Ky | May 3, 2010 | 24 y | 1 |
| Michael Robert Dugan | Raritan, Nj | May 3, 2010 | 19 y | 2 |
| Michael George DuganCertified Financial Planner, Chartered Financial Consultant | Louisville, Ky | May 3, 2010 | 38 y | 2 |
| Cindy Elizabeth Lindle | Louisville, Ky | May 3, 2010 | 26 y | 2 |
| Ronald Frank Vanhorn | Raritan, Nj | May 12, 2010 | 30 y | 2 |
| Robert Scott Sutherland | Oakbrook Terrace, Il | Jul 16, 2010 | 21 y | 2 |
| Mitchell Despinich | Oakbrook Terrace, Il | Jul 16, 2010 | 25 y | 2 |
| Thomas C DavyCertified Financial Planner | Louisville, Ky | Jul 20, 2010 | 35 y | 2 |
| Sabine Kudmani Stovall | Stovall, Nc | Aug 10, 2011 | 20 y | 0 |
| Mark Patrick Wenzl | Louisville, Ky | Nov 27, 2013 | 44 y | 0 |
| Jane M Vande Voort | Kaukauna, Wi | Mar 26, 2018 | 22 y | 5 |
| Shana Lynn Keil | Appleton, Wi | Aug 22, 2018 | 26 y | 2 |
| Marguerita Maria ChengCertified Financial Planner | Gaithersburg, Md | Nov 11, 2019 | 27 y | 2 |
| Todd A Oberhausen | Louisville, Ky | Nov 14, 2019 | 22 y | 2 |
| Jillian Fohr | Louisville, Ky | Jan 3, 2020 | 10 y | 0 |
| Jeffrey D SmithChartered Financial Consultant | Appleton, Wi | Jul 15, 2020 | 23 y | 4 |
| Sharon Ifrach | Appleton, Wi | Jul 23, 2020 | 19 y | 3 |
| Howard FriedmanChartered Financial Consultant | Rockville, Md | Jul 23, 2020 | 23 y | 8 |
| Leanne Ozaine Smith | Spokane, Wa | Aug 23, 2020 | 23 y | 4 |
| Michael Vincent FriedaChartered Financial Consultant | Boynton Beach, Fl | Feb 1, 2021 | 39 y | 0 |
| Peter ToppingCertified Financial Planner, Chartered Financial Consultant | New York, Ny | Feb 1, 2021 | 24 y | 1 |
| Timothy Daley Graham | Charlotte, Nc | Jun 2, 2021 | 23 y | 2 |
| Peter Joseph Mclaughlin | Louisville, Ky | Jul 27, 2021 | 11 y | 2 |
| Adam Boyd Morgan | Richmond, Va | Dec 8, 2021 | 13 y | 2 |
| Steven Richard Mills | Louisville, Ky | Jan 28, 2022 | 27 y | 3 |
| Edward Mitchell Marion | Appleton, Wi | Jan 28, 2022 | 17 y | 1 |
| Patrick Charles Homan | Louisville, Ky | Jan 31, 2022 | 33 y | 10 |
| Cassondra Jo Dunning | Louisville, Ky | Apr 26, 2022 | 28 y | 0 |
| Beth Ann Mengert | Marion, Wi | Jul 11, 2022 | 34 y | 3 |
| Gabriel Ethan LevyChartered Financial Analyst | Fort Lauderdale, Fl | Dec 16, 2022 | 26 y | 2 |
Advisor movement
3 left, 3 joined in 12 months
net 0 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 4.7% of current headcount9 left over 36 months
Left, latest
- Carl Wilfred Hafele to Hafele InvestmentsJun 26, 2026 · Other
- Michael Neal Campbell to Hafele InvestmentsJun 26, 2026 · Other
- Shannon Cassidy Stoehr to Raymond James Financial Services Advisors, IncNov 28, 2025 · Affiliated broker-dealer or bank to another
- Jacob Eddy to LPL Financial LLCAug 26, 2025 · Affiliated broker-dealer or bank to another
- Kyle James Hickey to Jameson & Griffin FinancialNov 11, 2024 · Affiliated broker-dealer or bank to a state-registered adviser
- Mandy Jo Hoeschen to Cetera Investment Advisers LLCJul 15, 2024 · Affiliated broker-dealer or bank to another
- Jon Christian Bohnert to Wells Fargo AdvisorsMar 1, 2024 · Affiliated broker-dealer or bank to wirehouse
- Clarence Shayne Daniels to Silver Oak Securities, Inc.Oct 23, 2023 · Affiliated broker-dealer or bank to another
- Tracy Renee Hardin to LPL Financial LLCOct 18, 2023 · Affiliated broker-dealer or bank to another
- Ryan Mclin to Impact Wealth GroupAug 15, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- John David Lewis to Regatta Financial LLCMay 9, 2023 · Affiliated broker-dealer or bank to a state-registered adviser
- Jeremy Eric Luse to Ameritas Advisory Services, LLCOct 17, 2022 · Affiliated broker-dealer or bank to another
- Derek Marcus Rogers to Cerity Partners Ocio LLCSep 14, 2022 · Affiliated broker-dealer or bank to independent RIA
- Diana Kay Perez to Morgan StanleyJun 21, 2022 · Affiliated broker-dealer or bank to wirehouse
- Seth Ariel Meisler to Centura Wealth AdvisoryJan 24, 2022 · Affiliated broker-dealer or bank to independent RIA
Joined, latest
- Robert Benedict Clements from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 11, 2026 · Wirehouse to affiliated broker-dealer or bank
- Jeremy Eric Udell from Kestra Advisory Services, LLCJan 23, 2026 · Affiliated broker-dealer or bank to another
- Bruce Stephen Udell from Kestra Advisory Services, LLCNov 24, 2025 · Affiliated broker-dealer or bank to another
- Lorraine Mekan Kirk from J.P. Morgan Securities LLCAug 8, 2025 · Wirehouse to affiliated broker-dealer or bank
- Cortland Robert Bradbury from Heritage Wealth Partners, LLCMay 5, 2025 · RIA to affiliated broker-dealer or bank
- Stephen Andrew Mcbride from Heritage Wealth Partners, LLCMay 5, 2025 · RIA to affiliated broker-dealer or bank
- Timothy Howard Ianni from J.P. Morgan Securities LLCApr 16, 2025 · Wirehouse to affiliated broker-dealer or bank
- Connor Low from Northwestern Mutual Investment Services,LLCJan 2, 2025 · Other
- Shannon Cassidy Stoehr from Morgan StanleyNov 25, 2024 · Wirehouse to affiliated broker-dealer or bank
- Jacob Eddy from LPL Financial LLCSep 27, 2024 · Affiliated broker-dealer or bank to another
- Mandy Jo Hoeschen from Cwm, LLCJan 18, 2024 · Affiliated broker-dealer or bank to another
- Jeremy James Burton from Raymond James Financial Services Advisors, IncNov 17, 2023 · Affiliated broker-dealer or bank to another
- Karla Linn Elliott from Securities America Advisors, Inc.Nov 1, 2023 · Affiliated broker-dealer or bank to another
- Theodore Edward Greggis from Blackridge Asset Management, LLCOct 31, 2023 · Affiliated broker-dealer or bank to another
- Mitchell Joseph Oldewurtel from Msh Capital Advisors LLCSep 22, 2023 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Hafele InvestmentsJun 26, 2026 · Louisville, Ky
- 2 left for LPL Financial LLCAug 30, 2017 · Louisville, Ky
- 2 joined from Kestra Advisory Services, LLCNov 19, 2025 · Maitland, Fl
- 2 joined from Heritage Wealth Partners, LLCJul 10, 2025 · Dublin, Oh
- 2 joined from Woodbury Financial Services, Inc.Jan 19, 2024 · Mcdonough, Ga
- 3 joined from Woodbury Financial Services, Inc.Jan 19, 2024 · Knoxville, Tn
- 2 joined from Bright Futures Wealth Management, LLCJul 24, 2020 · Rockville, Md
- 2 joined from Bright Futures Wealth Management, LLCJul 24, 2020 · Webster, Ny
- 2 joined from Robert W. Baird & Co. IncorporatedNov 6, 2019 · Louisville, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Timothy David Gacsy · Chief Financial Officercontrolsince 08/2023 · owns less than 5%
- Timothy Daley Graham · Presidentcontrolsince 05/2021 · owns less than 5%
- Steven Richard Mills · Chief Operations Officercontrolsince 08/2023 · owns less than 5%
- Ernest Aubrey Sampson · Managing Member, Esop Trusteecontrolsince 04/2007 · owns less than 5%
- John Philip Taylor-Jones · Chief Compliance Officercontrolsince 08/2013 · owns less than 5%
- Mary Elizabeth Wescott · Chief Administration Officercontrolsince 09/2018 · owns less than 5%
- Ernest Aubrey Sampson · Shareholdercontrolsince 02/2001 · owns 75% or more of Kfg Enterprises, Inc.
- Julia Meyer Ironside · Finopsince 11/2020 · owns less than 5%
Entity owners
- Kfg Enterprises, Inc. · Shareholderdirect · owns 50% to 75%
- Private Client Services Emp Stock · Esop Trustdirect · owns 25% to 50%
- Private Client Services Emp Stock Ownership Plan & Trust · Esop Trustdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- Private Client Servicesbroker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 48 | 4 | 3 | 1 | |
| Appleton, Wi | 16 | 0 | 0 | ||
| St Louis Park, Mn | 7 | 0 | 0 | ||
| Charlotte, Nc | 3 | 0 | 0 | ||
| Oakbrook Terrace, Il | 3 | 0 | 0 | ||
| Raritan, Nj | 3 | 0 | 0 | ||
| Rockville, Md | 3 | 0 | 0 | ||
| Worthington, Oh | 3 | 0 | 0 | ||
| Durham, Nc | 2 | 0 | 0 | ||
| New York, Ny | 2 | 0 | 0 | ||
| Sarasota, Fl | 2 | 2 | 0 | ||
| Papillion, Ne | 1 | 0 | 0 | ||
| Lebanon, Ky | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Louisville, KY5 employees
- New York, NY5 employees
- Rockville, MD4 employees
- Columbia, SC4 employees
- Oakbrook Terrace, IL4 employees
- Frankfort, KY2 employees
- Raritan, NJ2 employees
- Brentwood, TN2 employees
- Louisville, KY1 employees
- N. Kansas City, MO1 employees
- Somerville, NJ1 employees
- Spokane, WA1 employees
- St Louis Park, MN1 employees
- Appleton, WI1 employees
- Fort Lauderdale, FL1 employees
- Ft Worth, TX1 employees
- , 1 employees
- Baton Rouge, LA1 employees
- Jeffersonville, IN1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 14, 2026accounts (Item 5.F.2.f) moved from 3,271.0 to 8,765.0 (+168.0%) between the annual amendments of 2025-03-21 and 2026-03-14; the peer median change was +10.0% (52 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (52) · 100% percentile
- client count surgeChange between filings · filing Mar 14, 2026individual and HNW clients (Item 5.D) moved from 3,224.0 to 8,723.0 (+171.0%) between the annual amendments of 2025-03-21 and 2026-03-14; the peer median change was +9.0% (50 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers, $1B to $5B (50) · 100% percentile
- control person changedChange between filings · filing Mar 14, 2026GACSY, TIMOTHY DAVID (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-07-10 and 2026-03-14peers: affiliated wealth managers, $1B to $5B (56)
- HNW share shiftChange between filings · filing Mar 14, 2026HNW share of RAUM moved from 11.0% to 26.0% between the annual amendments of 2025-03-21 and 2026-03-14peers: affiliated wealth managers, $1B to $5B (56)
What changed
consecutive filings, newest first
- Accounts · 3,271 to 8,765Nov 26, 2025 to Mar 14, 2026
- Corporate clients · 12 to 7Nov 26, 2025 to Mar 14, 2026
- HNW clients · 184 to 194Nov 26, 2025 to Mar 14, 2026
- Individual clients · 3,040 to 8,529Nov 26, 2025 to Mar 14, 2026
- Pension plan clients · 15 to 35Nov 26, 2025 to Mar 14, 2026
- Discretionary RAUM · $391M to $562MNov 26, 2025 to Mar 14, 2026
- HNW RAUM · $112M to $365MNov 26, 2025 to Mar 14, 2026
- Individual RAUM · $937M to $1.0BNov 26, 2025 to Mar 14, 2026
- Non-discretionary RAUM · $660M to $821MNov 26, 2025 to Mar 14, 2026
- RAUM · $1.1B to $1.4BNov 26, 2025 to Mar 14, 2026
- Wrap assets (sponsor) · $1.1B to $1.4BNov 26, 2025 to Mar 14, 2026
- Other offices · 22 to 23May 19, 2025 to Nov 26, 2025
- Financial planning clients · 11-25 to 11-25Mar 21, 2025 to May 19, 2025
- Other offices · 20 to 22Mar 21, 2025 to May 19, 2025
- Accounts · 2,890 to 3,271Jan 16, 2025 to Mar 21, 2025
- Corporate clients · 3 to 12Jan 16, 2025 to Mar 21, 2025
- HNW clients · 152 to 184Jan 16, 2025 to Mar 21, 2025
- Individual clients · 1,717 to 3,040Jan 16, 2025 to Mar 21, 2025
- Pension plan clients · 10 to 15Jan 16, 2025 to Mar 21, 2025
- Financial planning clients · 26-50 to 11-25Jan 16, 2025 to Mar 21, 2025
- Discretionary RAUM · $293M to $391MJan 16, 2025 to Mar 21, 2025
- HNW RAUM · $66.7M to $112MJan 16, 2025 to Mar 21, 2025
- Individual RAUM · $768M to $937MJan 16, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $553M to $660MJan 16, 2025 to Mar 21, 2025
- Pension RAUM · $9.0M to $750,841Jan 16, 2025 to Mar 21, 2025
- RAUM · $846M to $1.1BJan 16, 2025 to Mar 21, 2025
- Wrap assets (sponsor) · $846M to $1.1BJan 16, 2025 to Mar 21, 2025
- Other offices · 19 to 20Jul 10, 2024 to Jan 16, 2025
- Accounts · 2,669 to 2,890Jan 3, 2024 to Mar 28, 2024
- HNW clients · 142 to 152Jan 3, 2024 to Mar 28, 2024
- Individual clients · 1,596 to 1,717Jan 3, 2024 to Mar 28, 2024
- Other offices · 21 to 19Jan 3, 2024 to Mar 28, 2024
- Discretionary RAUM · $197M to $293MJan 3, 2024 to Mar 28, 2024
- HNW RAUM · $231M to $66.7MJan 3, 2024 to Mar 28, 2024
- Individual RAUM · $422M to $768MJan 3, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $466M to $553MJan 3, 2024 to Mar 28, 2024
- Pension RAUM · $7.9M to $9.0MJan 3, 2024 to Mar 28, 2024
- RAUM · $663M to $846MJan 3, 2024 to Mar 28, 2024
- Wrap assets (sponsor) · $663M to $846MJan 3, 2024 to Mar 28, 2024
- Accounts · 1,967 to 2,669Dec 7, 2022 to Mar 28, 2023
Signals
32 dated events
- Carl Wilfred Hafele left Private Client Services, Llc for Hafele Investments (registered 2026-06-26)Jun 26, 2026 · Advisor changed firm · fact
- Michael Neal Campbell left Private Client Services, Llc for Hafele Investments (registered 2026-06-26)Jun 26, 2026 · Advisor changed firm · fact
- 2 advisors left Private Client Services, LLC (Louisville, KY) for Hafele Investments on the same dayJun 26, 2026 · Team lift-out · derived
- Private Client Services, Llc reported RAUM $1.4B, up 32% from $1.1B (2025-11-26 to 2026-03-14)Mar 14, 2026 · RAUM change · derived
- Shannon Cassidy Stoehr left Private Client Services, Llc for Raymond James Financial Services Advisors, Inc (registered 2025-12-01)Nov 28, 2025 · Advisor changed firm · fact
- 2 advisors left Kestra Advisory Services, LLC (Maitland, FL) for Private Client Services, LLC on the same dayNov 19, 2025 · Team lift-out · derived
- Jacob Eddy left Private Client Services, Llc for Lpl Financial Llc (registered 2026-04-15)Aug 26, 2025 · Advisor changed firm · fact
- 2 advisors left Heritage Wealth Partners, LLC (Dublin, OH) for Private Client Services, LLC on the same dayJul 10, 2025 · Team lift-out · derived
- Kyle James Hickey left Private Client Services, Llc for Jameson & Griffin Financial (registered 2024-10-24)Nov 11, 2024 · Advisor changed firm · fact
- Mandy Jo Hoeschen left Private Client Services, Llc for Cetera Investment Advisers Llc (registered 2024-07-26)Jul 15, 2024 · Advisor changed firm · fact
- Steven Richard Mills (Chief Operations Officer) appeared on Schedule A of Private Client Services, LlcJul 10, 2024 · Control person joined · fact
- Timothy David Gacsy (Chief Financial Officer) appeared on Schedule A of Private Client Services, LlcJul 10, 2024 · Control person joined · fact
- Private Client Services, Llc reported RAUM $845.8M, up 28% from $663.1M (2024-01-03 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Jon Christian Bohnert left Private Client Services, Llc for Wells Fargo Advisors (registered 2024-03-04)Mar 1, 2024 · Advisor changed firm · fact
- 3 advisors left Woodbury Financial Services, Inc. (Knoxville, TN) for Private Client Services, LLC on the same dayJan 19, 2024 · Team lift-out · derived
- 2 advisors left Woodbury Financial Services, Inc. (Mcdonough, GA) for Private Client Services, LLC on the same dayJan 19, 2024 · Team lift-out · derived
- Clarence Shayne Daniels left Private Client Services, Llc for Silver Oak Securities, Inc. (registered 2023-10-23)Oct 23, 2023 · Advisor changed firm · fact
- Tracy Renee Hardin left Private Client Services, Llc for Lpl Financial Llc (registered 2023-10-17)Oct 18, 2023 · Advisor changed firm · fact
- Ryan Mclin left Private Client Services, Llc for Impact Wealth Group (registered 2023-08-18)Aug 15, 2023 · Advisor changed firm · fact
- John David Lewis left Private Client Services, Llc for Regatta Financial Llc (registered 2024-10-11)May 9, 2023 · Advisor changed firm · fact
- Private Client Services, Llc reported 21 offices beyond its principal office, up from 16 (2022-12-07 to 2023-03-28)Mar 28, 2023 · Office count change · derived
- Jeremy Eric Luse left Private Client Services, Llc for Ameritas Advisory Services, Llc (registered 2022-10-24)Oct 17, 2022 · Advisor changed firm · fact
- Derek Marcus Rogers left Private Client Services, Llc for Cerity Partners Ocio Llc (registered 2022-09-26)Sep 14, 2022 · Advisor changed firm · fact
- Diana Kay Perez left Private Client Services, Llc for Morgan Stanley (registered 2022-07-04)Jun 21, 2022 · Advisor changed firm · fact
- Private Client Services, Llc reported RAUM $615.1M, up 35% from $455.3M (2022-01-28 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Seth Ariel Meisler left Private Client Services, Llc for Centura Wealth Advisory (registered 2022-01-21)Jan 24, 2022 · Advisor changed firm · fact
- Ryan Joseph Armock (Chief Operations Officer) no longer on Schedule A of Private Client Services, Llc (listed 2021-05-04, absent 2021-05-28)May 28, 2021 · Control person left · inference
- Timothy Daley Graham (Chief Operations Officer) appeared on Schedule A of Private Client Services, LlcMay 28, 2021 · Control person joined · fact
- Private Client Services, Llc reported 47 state-registered advisory representatives, up from 30 (2020-11-10 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- Private Client Services, Llc reported RAUM $455.3M, up 45% from $313.8M (2020-11-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Private Client Services, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/affiance-financialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- HAFELEINVESTMENTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 502-451-0600reportedpublic record, Form ADV, Mar 14, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $21.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026