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
Pca Investment Advisory Services, Inc.
Latest filing Jul 21, 2026
First filing on the tape Jan 4, 2012 · 34 filings
SEC status approved since Dec 15, 2006
RAUM
$4.3B
reported, Item 5.F
Discretionary
53%
of RAUM
Private clients
22%
$946M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$431M
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$4.3B as of Jul 21, 2026
Jan 4, 2012$417M then
HNW client RAUM$762M as of Jul 21, 2026
Feb 21, 2018$94.7M then
State-registered IARs (5.B.3)10 as of Jul 21, 2026
Jan 4, 20120 then
Employees (5.A)15 as of Jul 21, 2026
Mar 26, 201327 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 0 to 10offices 1 to 0
Practice profile
derived from the filing of Jul 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $431MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 53%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.8%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Financial planning clients
- 713reportedItem 5.H
- Custody
- $2.4B, 249 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$3.4B78%
- High-net-worth individuals$762M18%
- Individuals$184M4.3%
- Corporations and businesses$8.2M0.2%
- Individual clients
- 623reported
- HNW clients
- 249reported
- Pension plan clients
- 292reported
- Charitable clients
- 0reported
- Accounts
- 2,187reported
- Financial planning clients
- 713reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.4B for 249 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Zachary Michael Burns | Cincinnati, Oh | Mar 29, 2010 | 27 y | 0 |
| Justin Edward SeitzCertified Financial Planner | Cincinnati, Oh | Mar 29, 2010 | 23 y | 1 |
| Thomas Edward Seitz | Cincinnati, Oh | Mar 29, 2010 | 33 y | 1 |
| Mark Dennis Holly | Cincinnati, Oh | Mar 29, 2010 | 38 y | 1 |
| Mark Anthony JanszenCertified Financial Planner | Cincinnati, Oh | Nov 7, 2011 | 18 y | 2 |
| Seth Robert PriestleCertified Financial Planner | Cincinnati, Oh | Apr 10, 2014 | 18 y | 0 |
| Timothy Mark O'ConnerCertified Financial Planner | Cincinnati, Oh | Apr 25, 2016 | 10 y | 0 |
| Justin August Dornbach | Cincinnati, Oh | Aug 7, 2020 | 10 y | 0 |
| Matthew David Mullins | Cincinnati, Oh | Feb 2, 2022 | 14 y | 0 |
| Carrie Amanda Lucas | Cincinnati, Oh | Apr 19, 2024 | 28 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
- Jason Robert Lipps to The Coastal Advisory Group, LLCJan 18, 2011 · Other
Joined, latest
- Carrie Amanda Lucas from L.M. Kohn & CompanyApr 19, 2024 · Other
- Mark Anthony Janszen from Wells Fargo AdvisorsNov 7, 2011 · Other
- Jason Robert Lipps from Brecek & Young Advisors, Inc.Mar 29, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Michael Zachary Burns · Managing Partnercontrolsince 06/2012 · owns 10% to 25%
- Robert James Eckerle · Presidentcontrolsince 12/2002 · owns less than 5%
- Anthony Mark Janszen · Partnercontrolsince 10/2018 · owns 10% to 25%
- Robert Seth Priestle · Partnercontrolsince 01/2017 · owns 5% to 10%
- Edward Justin Seitz · Partnercontrolsince 10/2015 · owns 10% to 25%
- Ann Karen Seitz · Directorcontrolsince 12/2002 · owns less than 5%
- Edward Thomas Seitz · Chairman Of The Boardcontrolsince 12/2002 · owns 25% to 50%
- Ann Leslie Green · Chief Compliance Officersince 03/2023 · owns less than 5%
- Daniel Patrick Hayes · Chief Legal Officersince 12/2024 · owns less than 5%
- Ann Karey Williams · Chief Compliance Officersince 03/2026 · owns less than 5%
Related persons
Schedule D 7.A
- Pension Corporation Of America Of CincinnatiLP sponsory
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 10 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Chester, OH1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jul 21, 2026institutional share of RAUM of 78% against a peer median of 3% (1360 comparable advisers, 100.0th percentile, 18.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,360) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 2,056 to 2,187Jan 17, 2025 to Mar 25, 2026
- Corporate clients · 8 to 11Jan 17, 2025 to Mar 25, 2026
- HNW clients · 178 to 249Jan 17, 2025 to Mar 25, 2026
- Individual clients · 728 to 623Jan 17, 2025 to Mar 25, 2026
- Pension plan clients · 282 to 292Jan 17, 2025 to Mar 25, 2026
- Assets in custody · $2.0B to $2.4BJan 17, 2025 to Mar 25, 2026
- Employees · 13 to 15Jan 17, 2025 to Mar 25, 2026
- State-registered IARs · 0 to 10Jan 17, 2025 to Mar 25, 2026
- Other offices · 1 to 0Jan 17, 2025 to Mar 25, 2026
- Discretionary RAUM · $1.9B to $2.3BJan 17, 2025 to Mar 25, 2026
- HNW RAUM · $559M to $762MJan 17, 2025 to Mar 25, 2026
- Individual RAUM · $193M to $184MJan 17, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $1.7B to $2.0BJan 17, 2025 to Mar 25, 2026
- Pension RAUM · $2.8B to $3.4BJan 17, 2025 to Mar 25, 2026
- RAUM · $3.6B to $4.3BJan 17, 2025 to Mar 25, 2026
- Accounts · 1,842 to 2,056Jul 25, 2024 to Jan 17, 2025
- Advisory activities · 3 to 4Jul 25, 2024 to Jan 17, 2025
- Corporate clients · 7 to 8Jul 25, 2024 to Jan 17, 2025
- HNW clients · 134 to 178Jul 25, 2024 to Jan 17, 2025
- Individual clients · 733 to 728Jul 25, 2024 to Jan 17, 2025
- Pension plan clients · 205 to 282Jul 25, 2024 to Jan 17, 2025
- Assets in custody · $186 to $2.0BJul 25, 2024 to Jan 17, 2025
- Financial planning clients · 251-500 to More than 500Jul 25, 2024 to Jan 17, 2025
- Discretionary RAUM · $1.5B to $1.9BJul 25, 2024 to Jan 17, 2025
- HNW RAUM · $334M to $559MJul 25, 2024 to Jan 17, 2025
- Individual RAUM · $175M to $193MJul 25, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $1.4B to $1.7BJul 25, 2024 to Jan 17, 2025
- Pension RAUM · $2.4B to $2.8BJul 25, 2024 to Jan 17, 2025
- RAUM · $2.9B to $3.6BJul 25, 2024 to Jan 17, 2025
- Accounts · 1,777 to 1,842Apr 6, 2023 to Mar 22, 2024
- BD registered reps · 2 to 0Apr 6, 2023 to Mar 22, 2024
- Corporate clients · 5 to 7Apr 6, 2023 to Mar 22, 2024
- HNW clients · 117 to 134Apr 6, 2023 to Mar 22, 2024
- Individual clients · 683 to 733Apr 6, 2023 to Mar 22, 2024
- Pension plan clients · 236 to 205Apr 6, 2023 to Mar 22, 2024
- Assets in custody · $1.7B to $186Apr 6, 2023 to Mar 22, 2024
- Employees · 10 to 13Apr 6, 2023 to Mar 22, 2024
- State-registered IARs · 10 to 0Apr 6, 2023 to Mar 22, 2024
- Discretionary RAUM · $1.2B to $1.5BApr 6, 2023 to Mar 22, 2024
- HNW RAUM · $266M to $334MApr 6, 2023 to Mar 22, 2024
Signals
6 dated events
- Pca Investment Advisory Services, Inc. reported 10 state-registered advisory representatives, up from 0 (2025-01-17 to 2026-03-25)Mar 25, 2026 · Advisor headcount change · derived
- Pca Investment Advisory Services, Inc. reported 0 state-registered advisory representatives, down from 10 (2023-04-06 to 2024-03-22)Mar 22, 2024 · Advisor headcount change · derived
- Pca Investment Advisory Services, Inc. reported RAUM $2.5B, up 108% from $1.2B (2022-03-25 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Pca Investment Advisory Services, Inc. reported RAUM $827.9M, up 94% from $426.1M (2019-03-21 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- Pca Investment Advisory Services, Inc. reported RAUM $426.1M, down 72% from $1.5B (2018-10-18 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
- Pca Investment Advisory Services, Inc. reported RAUM $1.5B, up 25% from $1.2B (2017-03-24 to 2018-02-21)Feb 21, 2018 · RAUM change · derived
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
- Firm profile
- LINKEDIN.COM/COMPANY/PENSION-CORPORATION-OF-AMERICAreportedpublic record, Form ADV, Sep 17, 2026
- Website
- pca401k.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513.281.3366reportedpublic record, Form ADV, Jul 21, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $431Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026