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
F•••••••• A••••••• S•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 2, 2012 · 14 filings
SEC status approved since Jul 5, 2018
RAUM
$257M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$243M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$257M as of Mar 26, 2026
Apr 2, 2012$36.8M then
HNW client RAUM$152M as of Mar 26, 2026
Mar 20, 2019$70.5M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Apr 2, 20120 then
Employees (5.A)2 as of Mar 26, 2026
Mar 20, 20192 then
Private funds: no history
RAUM +12% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 143derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $368,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$152M59%
- Individuals$91.2M36%
- Corporations and businesses$10.0M3.9%
- Charitable organizations$3.6M1.4%
- Individual clients
- 215reported
- HNW clients
- 71reported
- Pension plan clients
- 0reported
- Charitable clients
- 6reported
- Accounts
- 698reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• C••••••••• H•••••Chartered Financial Consultant | Hanover, Pa | Sep 29, 2005 | 21 y | 0 |
| R••• A••••• F•• | Gettysburg, Pa | May 12, 2015 | 29 y | 1 |
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
- B••• A•• V•••••• to C••••••• S••••• I••••••••• C••••••• L••Oct 14, 2020 · RIA to RIA
Joined, latest
- B••• A•• V•••••• from A•••••• M•••••Sep 24, 2019 · RIA to RIA
- R••• A••••• F•• from F•••••••• C••••••••May 12, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••• R•••• A••••• · Co-Chief Investment Officercontrolsince 02/2015 · owns less than 5%
- H•••••• S•••• C••••••••• · Chief Compliance Officer, Co-Chief Investment Officercontrolsince 01/2007 · 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 |
|---|---|---|---|---|---|
| Hanover, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- York, PA2 employees
- Gettysburg, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 722 to 698Mar 27, 2025 to Mar 26, 2026
- Individual clients · 213 to 215Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $230M to $257MMar 27, 2025 to Mar 26, 2026
- HNW RAUM · $136M to $152MMar 27, 2025 to Mar 26, 2026
- Individual RAUM · $81.4M to $91.2MMar 27, 2025 to Mar 26, 2026
- RAUM · $230M to $257MMar 27, 2025 to Mar 26, 2026
- Accounts · 779 to 722Mar 18, 2024 to Mar 27, 2025
- Charity clients · 4 to 6Mar 18, 2024 to Mar 27, 2025
- HNW clients · 68 to 71Mar 18, 2024 to Mar 27, 2025
- Individual clients · 217 to 213Mar 18, 2024 to Mar 27, 2025
- Financial planning clients · 251-500 to 251-500Mar 18, 2024 to Mar 27, 2025
- Discretionary RAUM · $204M to $230MMar 18, 2024 to Mar 27, 2025
- HNW RAUM · $122M to $136MMar 18, 2024 to Mar 27, 2025
- Individual RAUM · $72.5M to $81.4MMar 18, 2024 to Mar 27, 2025
- RAUM · $204M to $230MMar 18, 2024 to Mar 27, 2025
- Accounts · 797 to 779Mar 23, 2023 to Mar 18, 2024
- HNW clients · 46 to 68Mar 23, 2023 to Mar 18, 2024
- Individual clients · 243 to 217Mar 23, 2023 to Mar 18, 2024
- Discretionary RAUM · $174M to $204MMar 23, 2023 to Mar 18, 2024
- HNW RAUM · $85.5M to $122MMar 23, 2023 to Mar 18, 2024
- Individual RAUM · $79.7M to $72.5MMar 23, 2023 to Mar 18, 2024
- RAUM · $174M to $204MMar 23, 2023 to Mar 18, 2024
- Accounts · 785 to 797Mar 24, 2022 to Mar 23, 2023
- Charity clients · 5 to 4Mar 24, 2022 to Mar 23, 2023
- Corporate clients · unset to 6.0Mar 24, 2022 to Mar 23, 2023
- HNW clients · 42 to 46Mar 24, 2022 to Mar 23, 2023
- Individual clients · 247 to 243Mar 24, 2022 to Mar 23, 2023
- Discretionary RAUM · $182M to $174MMar 24, 2022 to Mar 23, 2023
- HNW RAUM · $86.2M to $85.5MMar 24, 2022 to Mar 23, 2023
- Individual RAUM · $92.6M to $79.7MMar 24, 2022 to Mar 23, 2023
- RAUM · $182M to $174MMar 24, 2022 to Mar 23, 2023
- Accounts · 658 to 785Mar 29, 2021 to Mar 24, 2022
- Charity clients · 6 to 5Mar 29, 2021 to Mar 24, 2022
- HNW clients · 44 to 42Mar 29, 2021 to Mar 24, 2022
- Individual clients · 249 to 247Mar 29, 2021 to Mar 24, 2022
- Discretionary RAUM · $174M to $182MMar 29, 2021 to Mar 24, 2022
- HNW RAUM · $91.1M to $86.2MMar 29, 2021 to Mar 24, 2022
- Individual RAUM · $79.6M to $92.6MMar 29, 2021 to Mar 24, 2022
- RAUM · $174M to $182MMar 29, 2021 to Mar 24, 2022
- Accounts · 721 to 658Jun 30, 2020 to Mar 29, 2021
Signals
1 dated events
- F•••••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Jun 6, 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
- Website
- H•••••FOX.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-633-6844reportedpublic record, Form ADV, Mar 26, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026