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

Ehd Advisory Services, Inc.

Former SEC-registered adviserLancaster, PennsylvaniaCRD 127155SEC 801-68858IAPD
Latest filing Jun 14, 2019
First filing on the tape Mar 16, 2012 · 21 filings
RAUM
$126M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
88%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$126M as of Feb 12, 2019
Mar 16, 2012$174M then
HNW client RAUM$62.0M as of Feb 12, 2019
Feb 16, 2018$60.0M then
State-registered IARs (5.B.3)4 as of Feb 12, 2019
Mar 16, 20120 then
Employees (5.A)6 as of Feb 12, 2019
Mar 11, 20137 then
Private funds: no history
RAUM -8.5% over the last fiscal year+0.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 14, 2019; every figure names its basis
RAUM per advisor
$31.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$330,092derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-5.0%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
  • 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
  • High-net-worth individuals$62.0M49%
  • Individuals$48.6M38%
  • Charitable organizations$12.8M10%
  • Pension and profit-sharing plans$2.0M1.6%
  • Corporations and businesses$1.0M0.8%
Individual clients
160reported
HNW clients
30reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
383reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • James Richard Diem · Shareholdercontrol
      since 08/2015 · owns 10% to 25%
    • Lee Kenneth Eshleman · Director/Chief Compliance Officercontrol
      since 01/2005 · owns 25% to 50%
    • Patrick Steven Maher · Shareholdercontrol
      since 08/2015 · owns less than 5%
    • Hosmer Stephen Torrance · Shareholder
      since 10/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 209 to 383
      Feb 16, 2018 to Feb 12, 2019
    • Charity clients · 3 to 7
      Feb 16, 2018 to Feb 12, 2019
    • Corporate clients · 2.0 to unset
      Feb 16, 2018 to Feb 12, 2019
    • HNW clients · 25 to 30
      Feb 16, 2018 to Feb 12, 2019
    • Individual clients · 175 to 160
      Feb 16, 2018 to Feb 12, 2019
    • Pension plan clients · 1.0 to unset
      Feb 16, 2018 to Feb 12, 2019
    • Discretionary RAUM · $135M to $125M
      Feb 16, 2018 to Feb 12, 2019
    • HNW RAUM · $60.0M to $62.0M
      Feb 16, 2018 to Feb 12, 2019
    • Individual RAUM · $63.3M to $48.6M
      Feb 16, 2018 to Feb 12, 2019
    • Non-discretionary RAUM · $3.2M to $1.8M
      Feb 16, 2018 to Feb 12, 2019
    • Pension RAUM · $1.9M to $2.0M
      Feb 16, 2018 to Feb 12, 2019
    • RAUM · $138M to $126M
      Feb 16, 2018 to Feb 12, 2019
    • Accounts · 357 to 209
      Apr 25, 2017 to Feb 16, 2018
    • BD registered reps · 3 to 2
      Apr 25, 2017 to Feb 16, 2018
    • Charity clients · unset to 3.0
      Apr 25, 2017 to Feb 16, 2018
    • Corporate clients · unset to 2.0
      Apr 25, 2017 to Feb 16, 2018
    • HNW clients · unset to 25.0
      Apr 25, 2017 to Feb 16, 2018
    • Individual clients · unset to 175.0
      Apr 25, 2017 to Feb 16, 2018
    • Pension plan clients · unset to 1.0
      Apr 25, 2017 to Feb 16, 2018
    • Other offices · unset to 0.0
      Apr 25, 2017 to Feb 16, 2018
    • Discretionary RAUM · $127M to $135M
      Apr 25, 2017 to Feb 16, 2018
    • HNW RAUM · unset to 60000000.0
      Apr 25, 2017 to Feb 16, 2018
    • Individual RAUM · unset to 63283278.0
      Apr 25, 2017 to Feb 16, 2018
    • Non-discretionary RAUM · $3.1M to $3.2M
      Apr 25, 2017 to Feb 16, 2018
    • Pension RAUM · unset to 1943859.0
      Apr 25, 2017 to Feb 16, 2018
    • RAUM · $130M to $138M
      Apr 25, 2017 to Feb 16, 2018
    • Accounts · 342 to 357
      Jan 17, 2017 to Mar 7, 2017
    • Advisory employees · 5 to 4
      Jan 17, 2017 to Mar 7, 2017
    • BD registered reps · 4 to 3
      Jan 17, 2017 to Mar 7, 2017
    • Employees · 7 to 6
      Jan 17, 2017 to Mar 7, 2017
    • Insurance-licensed employees · 2 to 1
      Jan 17, 2017 to Mar 7, 2017
    • Financial planning clients · 11-25 to 26-50
      Jan 17, 2017 to Mar 7, 2017
    • State-registered IARs · 5 to 4
      Jan 17, 2017 to Mar 7, 2017
    • Discretionary RAUM · $121M to $127M
      Jan 17, 2017 to Mar 7, 2017
    • Non-discretionary RAUM · $3.0M to $3.1M
      Jan 17, 2017 to Mar 7, 2017
    • RAUM · $124M to $130M
      Jan 17, 2017 to Mar 7, 2017
    • Accounts · 307 to 342
      Sep 8, 2015 to Feb 17, 2016
    • BD registered reps · 6 to 4
      Sep 8, 2015 to Feb 17, 2016
    • Insurance-licensed employees · 1 to 2
      Sep 8, 2015 to Feb 17, 2016
    • Discretionary RAUM · $118M to $121M
      Sep 8, 2015 to Feb 17, 2016
    Signals
    1 dated events
    • Donald Jeffrey Tompkins (Ceo) no longer on Schedule A of Ehd Advisory Services, Inc. (listed 2018-02-16, absent 2019-02-12)
      Feb 12, 2019 · Control person left · inference
    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