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
Atlantic Financial Services, Inc.
Latest filing Mar 15, 2024
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$141M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$141M as of Mar 15, 2024
Mar 30, 2012$68.4M then
HNW client RAUM$79.7M as of Mar 15, 2024
Mar 7, 2022$82.2M then
State-registered IARs (5.B.3)2 as of Mar 15, 2024
Mar 30, 20120 then
Employees (5.A)3 as of Mar 15, 2024
Mar 7, 20223 then
Private funds: no history
RAUM +6.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
- RAUM per advisor
- $70.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 148derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $225,056derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $10.6M, 38 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)
- 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$79.7M57%
- Individuals$60.9M43%
- Charitable organizations$91,9300.1%
- Individual clients
- 261reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 625reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $10.6M for 38 clientsreported
- Compensation
- % of AUM, hourlyreported
- 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
- Craig Guy Fischer to Wealthcare Capital Partners, LLCDec 4, 2024 · RIA to a newly registered adviser
- Carol M Ashmen to Wealthcare Capital Partners, LLCDec 4, 2024 · RIA to a newly registered adviser
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Wealthcare Capital Partners, LLCDec 4, 2024 · Towson, Md
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Guy Craig Fischer · Owner, Chief Compliance Officercontrolsince 11/1994 · 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 |
|---|---|---|---|---|---|
| Towson, Md · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 808 to 625Feb 22, 2023 to Mar 15, 2024
- Advisory activities · 2 to 3Feb 22, 2023 to Mar 15, 2024
- HNW clients · 32 to 34Feb 22, 2023 to Mar 15, 2024
- Individual clients · 242 to 261Feb 22, 2023 to Mar 15, 2024
- Assets in custody · $40.3M to $10.6MFeb 22, 2023 to Mar 15, 2024
- HNW RAUM · $74.2M to $79.7MFeb 22, 2023 to Mar 15, 2024
- Individual RAUM · $57.6M to $60.9MFeb 22, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $132M to $141MFeb 22, 2023 to Mar 15, 2024
- RAUM · $132M to $141MFeb 22, 2023 to Mar 15, 2024
- Accounts · 594 to 808Mar 7, 2022 to Feb 22, 2023
- Advisory employees · 3 to 2Mar 7, 2022 to Feb 22, 2023
- BD registered reps · 3 to 2Mar 7, 2022 to Feb 22, 2023
- HNW clients · 30 to 32Mar 7, 2022 to Feb 22, 2023
- Individual clients · 148 to 242Mar 7, 2022 to Feb 22, 2023
- Assets in custody · $56.0M to $40.3MMar 7, 2022 to Feb 22, 2023
- State-registered IARs · 3 to 2Mar 7, 2022 to Feb 22, 2023
- HNW RAUM · $82.2M to $74.2MMar 7, 2022 to Feb 22, 2023
- Individual RAUM · $69.1M to $57.6MMar 7, 2022 to Feb 22, 2023
- Non-discretionary RAUM · $152M to $132MMar 7, 2022 to Feb 22, 2023
- RAUM · $152M to $132MMar 7, 2022 to Feb 22, 2023
- Accounts · 357 to 594Mar 8, 2021 to Mar 7, 2022
- HNW clients · 9 to 30Mar 8, 2021 to Mar 7, 2022
- Individual clients · 190 to 148Mar 8, 2021 to Mar 7, 2022
- Assets in custody · $32.5M to $56.0MMar 8, 2021 to Mar 7, 2022
- HNW RAUM · $42.0M to $82.2MMar 8, 2021 to Mar 7, 2022
- Individual RAUM · $114M to $69.1MMar 8, 2021 to Mar 7, 2022
- Non-discretionary RAUM · $156M to $152MMar 8, 2021 to Mar 7, 2022
- RAUM · $156M to $152MMar 8, 2021 to Mar 7, 2022
- Accounts · 754 to 357Jun 26, 2012 to Mar 8, 2021
- Advisory employees · unset to 3.0Jun 26, 2012 to Mar 8, 2021
- BD registered reps · unset to 3.0Jun 26, 2012 to Mar 8, 2021
- HNW clients · unset to 9.0Jun 26, 2012 to Mar 8, 2021
- Individual clients · unset to 190.0Jun 26, 2012 to Mar 8, 2021
- Assets in custody · $68.4M to $32.5MJun 26, 2012 to Mar 8, 2021
- Employees · unset to 3.0Jun 26, 2012 to Mar 8, 2021
- Financial planning clients · unset to 0Jun 26, 2012 to Mar 8, 2021
- State-registered IARs · 0 to 3Jun 26, 2012 to Mar 8, 2021
- Other offices · unset to 0.0Jun 26, 2012 to Mar 8, 2021
- HNW RAUM · unset to 42000000.0Jun 26, 2012 to Mar 8, 2021
- Individual RAUM · unset to 113914079.0Jun 26, 2012 to Mar 8, 2021
Signals
5 dated events
- Craig Guy Fischer left Atlantic Financial Services, Inc. for Wealthcare Capital Partners, Llc (registered 2024-05-06)Dec 4, 2024 · Advisor changed firm · fact
- Carol M Ashmen left Atlantic Financial Services, Inc. for Wealthcare Capital Partners, Llc (registered 2024-05-09)Dec 4, 2024 · Advisor changed firm · fact
- 2 advisors left Atlantic Financial Services, Inc. (Towson, MD) for Wealthcare Capital Partners, LLC on the same dayDec 4, 2024 · Team lift-out · derived
- Benjamin Morris Wexler (President) no longer on Schedule A of Atlantic Financial Services, Inc. (listed 2022-03-07, absent 2023-02-22)Feb 22, 2023 · Control person left · inference
- Atlantic Financial Services, Inc. filed its initial SEC registration (Form ADV)Mar 8, 2021 · 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.
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