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.
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SEC-registered adviser
R•••••• • A•••••••••
Legal name R•••••• • A••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 14, 2011 · 30 filings
SEC status approved since Jul 3, 2003
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$1.6B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
21
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.6B as of Mar 30, 2026
Mar 30, 2012$354M then
HNW client RAUM$1.4B as of Mar 30, 2026
Mar 19, 2018$620M then
State-registered IARs (5.B.3)9 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)21 as of Mar 30, 2026
Mar 11, 201310 then
Private funds: no history
RAUM +9.6% over the last fiscal year+11% a year over threeIARs 11 to 9
Practice profile
derived from the filing of Mar 30, 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
- p••••••• led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $460,012derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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)
- 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
- High-net-worth individuals$1.4B83%
- Individuals$266M16%
- Charitable organizations$9.4M0.6%
- Individual clients
- 445reported
- HNW clients
- 549reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 3,544reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• L•• R•••••• | Lancaster, Pa | Oct 10, 2002 | 33 y | 1 |
| R••• L•• R••••••Certified Financial Planner | Lancaster, Pa | Oct 11, 2002 | 42 y | 2 |
| E•••• L•• E••••• | Lancaster, Pa | Aug 6, 2014 | 15 y | 0 |
| P•••••• C••••• | Lancaster, Pa | May 11, 2015 | 21 y | 1 |
| J•••••• L•• P••••••Certified Financial Planner | Lancaster, Pa | Jan 8, 2018 | 11 y | 1 |
| C••••••••• M••• H••••••Certified Financial Planner | Lancaster, Pa | Sep 19, 2019 | 12 y | 0 |
| A••••• R••• D•••Certified Financial Planner | Lancaster, Pa | Feb 22, 2021 | 13 y | 0 |
| G•••••••• H•••• G••••Certified Financial Planner | Lancaster, Pa | Jun 17, 2021 | 17 y | 0 |
| A••• J••• S•••••••Certified Financial Planner | Lancaster, Pa | Jun 23, 2021 | 12 y | 0 |
| J•••• W•••••• C•••••• W•••••Certified Financial Planner | Lancaster, Pa | Nov 5, 2021 | 15 y | 2 |
| M•••••• A••• L•••••Chartered Financial Consultant | Lancaster, Pa | Jul 18, 2023 | 11 y | 0 |
| B••••••• C•••••••• L•••••••Chartered Financial Consultant | Lancaster, Pa | May 31, 2024 | 11 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 headcount1 left over 36 months
Left, latest
- S•••••• M•••• E•••••• to E•••••• F••••••••Apr 30, 2025 · RIA to a state-registered adviser
- M•••••• S•••• H•••••••• to W••••••• F•••••••• P•••••••Mar 20, 2023 · RIA to a state-registered adviser
- R•••••• G••••• E•••• to M••••• S••••• W••••• M•••••••••Apr 12, 2022 · RIA to RIA
- P•••••• R••• K•••• to A•••• F•••••••• N••••••••• I•••Feb 8, 2019 · RIA to a state-registered adviser
- G••••• C•••••••• M••••• to R••••••• P••••••• G••••• L•••Nov 24, 2014 · Other
- A••• S•••• C••••••• to S•••••••• F•••••••• A•••••••• L••Aug 15, 2014 · Other
Joined, latest
- J•••• W•••••• C•••••• W••••• from V••••••• A•••••••• I•••Nov 5, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••••• M•••• E•••••• from V••••••• A•••••••• I•••Sep 22, 2021 · Affiliated broker-dealer or bank to independent RIA
- R•••••• G••••• E•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 19, 2019 · Wirehouse to independent RIA
- J•••••• L•• P•••••• from S•• W••••• A•••••••• I•••Jan 8, 2018 · Other
- P•••••• R••• K•••• from L••••• F•••••••• R••••••••• I•••Oct 26, 2015 · Other
- P•••••• C••••• from L•• F•••••••• L••May 11, 2015 · Other
- M•••••• S•••• H•••••••• from V••••••• A•••••••• I•••Feb 23, 2007 · Other
- R••• L•• R•••••• from S••••• S••••••••• C•••••••••Oct 11, 2002 · Other
- J•••••• L•• R•••••• from G••••• S••••••••• I•••Oct 10, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S••••• L•• · Director Of Operationscontrolsince 07/2024 · owns less than 5%
- R••••••• J••••••• L•• · Principalcontrolsince 07/2024 · owns less than 5%
- R••••••• R•••• L•• · Financial A••••••controlsince 07/2024 · owns less than 5%
- S••••••••• S•••••• H•••• · President, Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
Entity owners
- B••••••••• W••••• P•••••••• L•• · Ownerdirect · owns 75% or more
- K••••• A•••••• S••••••• H••••••• A• I•• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• B• I••
- K••••• A•••••• S••••••• H••••••• B• I•• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• C• I•• D•••• K••••• H•••••••
- K••••• A•••••• S••••••• H••••••• C• I•• D•••• K••••• H••••••• · Ownerindirect · owns 75% or more of K••••• F••••••••• I••
- K••••• F••••••••• I•• · Ownerindirect · owns 75% or more of B••••••••• W••••• P•••••••• L••
- K••••••••• H•••••• A• I••• · Ownerindirect · owns 75% or more of K••••••••• H•••••• B• I•••
- K••••••••• H•••••• B• I••• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• A• I••
- K••••••••• H•••••• G•• L•• · General Partnerindirect · owns F of K••••••••• H••••••• L•••
- K••••••••• H••••••• L••• · Ownerindirect · owns 75% or more of K••••••••• H•••••• A• I•••
- O•• H••• C•••••• P••••••• V• ••••••••• L••• · Ownerindirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
- O•• H••• C•••••• P••••••• V• •• 8•••• L••• · Ownerindirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
- O••• V• E••• A••••••••• L••• · Ownerindirect · owns 25% to 50% of K••••••••• H••••••• L•••
- W•••••• P••••• F•••••••• S•••••• L••• · Ownerindirect · owns 25% to 50% of K••••••••• H••••••• L•••
Related persons
Schedule D 7.A
- A••••••• F•••••••• S••••••••• I•••real estaten
- A•••• T•••• C••••••n
- B••••• F•••••••• G••••investment adviserreal estatenRAUM $1.3B
- B••••• F•••••• I••••••••• C••••••••• L•••investment advisernRAUM $872M
- B•••••• R• W•••• • A••••••••• I•••real estaten
- C•••••• P••••••• A••••••• L••investment advisernRAUM $1.5B
- C•••••• C•••••• M••••••••• L••investment adviserreal estaten
- G•••••••• A•••••••• L••investment advisernRAUM $1.1B
- H•••••• W••••• L••investment advisernRAUM $595M
- H•••••• A•••• M••••••••• I•••investment advisernRAUM $249M
- H••••• F•••••••• S•••••••• L••investment advisernRAUM $760M
- K••••• A••••••• S•••••••• L••investment advisernRAUM $80B
- K••••• I••••••••• S•••••••• L••investment advisern
- K••••• I•••••••• S•••••••• L••real estaten
- K••••• I••••••••• M••••••••• L•••investment advisernRAUM $4.3B
- Nfp A•••••• Services, LLCbroker-dealerreal estatenRAUM $12B
- K••••• P•••••• W••••• S•••••••• L••investment advisernRAUM $13B
- O••••••• F•••••••• C•••••• I•••real estaten
- P•••••• M••••••••• G••••• L••investment adviserreal estatenRAUM $2.0B
- R••••• D•••••• F•••••••• A••••••• L••investment advisernRAUM $936M
- B••••••••• Wealth Management, LLCinvestment advisernRAUM $5.4B
- J•••• F••••••••investment advisernRAUM $277M
- V••••• I•••••••• S•••••••• L••real estaten
Advisers that list R•••••• • A••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lancaster, Pa · principal | 12 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- large related person networkStatic outlier · filing Mar 30, 2026related persons on Schedule D 7.A of 23.0 against a peer median of 4.5 (206 comparable advisers, 98.0th percentile, 8.3 robust deviations)peers: independent wealth managers, $1B to $5B (206) · 98% percentile
- control person changedChange between filings · filing Mar 30, 2026R••••••• R•••• L•• (FINANCIAL A••••••) left Schedule A between the filings of 2024-07-31 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026R••••••• J••••••• L•• (PRINCIPAL) left Schedule A between the filings of 2024-07-31 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,378 to 3,544Mar 5, 2025 to Mar 30, 2026
- Advisory employees · 11 to 10Mar 5, 2025 to Mar 30, 2026
- Charity clients · 5 to 3Mar 5, 2025 to Mar 30, 2026
- HNW clients · 523 to 549Mar 5, 2025 to Mar 30, 2026
- Individual clients · 454 to 445Mar 5, 2025 to Mar 30, 2026
- Employees · 19 to 21Mar 5, 2025 to Mar 30, 2026
- State-registered IARs · 11 to 9Mar 5, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.5B to $1.6BMar 5, 2025 to Mar 30, 2026
- HNW RAUM · $1.2B to $1.4BMar 5, 2025 to Mar 30, 2026
- Individual RAUM · $263M to $266MMar 5, 2025 to Mar 30, 2026
- RAUM · $1.5B to $1.6BMar 5, 2025 to Mar 30, 2026
- Accounts · 3,366 to 3,378Jul 31, 2024 to Mar 5, 2025
- Advisory employees · 12 to 11Jul 31, 2024 to Mar 5, 2025
- Charity clients · 6 to 5Jul 31, 2024 to Mar 5, 2025
- HNW clients · 447 to 523Jul 31, 2024 to Mar 5, 2025
- Individual clients · 541 to 454Jul 31, 2024 to Mar 5, 2025
- Employees · 20 to 19Jul 31, 2024 to Mar 5, 2025
- Financial planning clients · More than 500 to More than 500Jul 31, 2024 to Mar 5, 2025
- State-registered IARs · 12 to 11Jul 31, 2024 to Mar 5, 2025
- Legal name · R•••••• • A•••••••••, LTD. to R•••••• • A••••••••• L••Jul 31, 2024 to Mar 5, 2025
- Discretionary RAUM · $1.3B to $1.5BJul 31, 2024 to Mar 5, 2025
- HNW RAUM · $1.0B to $1.2BJul 31, 2024 to Mar 5, 2025
- Individual RAUM · $321M to $263MJul 31, 2024 to Mar 5, 2025
- RAUM · $1.3B to $1.5BJul 31, 2024 to Mar 5, 2025
- Succession · true to falseJul 31, 2024 to Mar 5, 2025
- Organization form · Corporation to Limited Liability CompanyJun 6, 2024 to Jul 31, 2024
- Related adviser · false to trueJun 6, 2024 to Jul 31, 2024
- Related broker-dealer · false to trueJun 6, 2024 to Jul 31, 2024
- Succession · false to trueJun 6, 2024 to Jul 31, 2024
- Accounts · 3,207 to 3,366Aug 2, 2023 to Mar 27, 2024
- Charity clients · 7 to 6Aug 2, 2023 to Mar 27, 2024
- HNW clients · 424 to 447Aug 2, 2023 to Mar 27, 2024
- Individual clients · 549 to 541Aug 2, 2023 to Mar 27, 2024
- Employees · 18 to 20Aug 2, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.3BAug 2, 2023 to Mar 27, 2024
- HNW RAUM · $881M to $1.0BAug 2, 2023 to Mar 27, 2024
- Individual RAUM · $307M to $321MAug 2, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.3BAug 2, 2023 to Mar 27, 2024
- Accounts · 3,261 to 3,207Oct 31, 2022 to Mar 29, 2023
- Advisory employees · 11 to 12Oct 31, 2022 to Mar 29, 2023
Signals
5 dated events
- S•••••• M•••• E•••••• left R•••••• • A••••••••• for E•••••• F•••••••• (registered 2025-05-05)Apr 30, 2025 · a•••••• firm change · fact
- R•••••• • A••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 31, 2024 · Succession (Item 4) · fact
- Scott M•••••• Helveston (Director Of Adviser Services, Director) no longer on Schedule A of R•••••• • A••••••••• (listed 2023-08-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- M•••••• S•••• H•••••••• left R•••••• • A••••••••• for W••••••• F•••••••• P••••••• (registered 2023-05-09)Mar 20, 2023 · a•••••• firm change · fact
- R•••••• G••••• E•••• left R•••••• • A••••••••• for M••••• S••••• W••••• M••••••••• (registered 2022-05-02)Apr 12, 2022 · a•••••• firm change · 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@rodgers-associates.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- clint@rodgers-associates.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 717-560-3800reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-876-3437reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- R••••••-ASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-560-3800reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- rodgers-associates.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- rodgers-associates.com/about/teamreportedpublished 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
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026