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
Mckinley Carter Wealth Services, Inc.
Latest filing Mar 23, 2026
First filing on the tape Dec 6, 2011 · 35 filings
SEC status approved since Aug 4, 2005
RAUM
$2.3B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
95%
$2.2B individuals and HNW
Advisors
25
registered through the firm on IAPD
RAUM per advisor
$92.3M
derived; firm RAUM over IAPD count
Employees
32
27 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.3B as of Mar 23, 2026
Mar 23, 2012$517M then
HNW client RAUM$2.0B as of Mar 23, 2026
Mar 30, 2018$588M then
State-registered IARs (5.B.3)27 as of Mar 23, 2026
Mar 28, 201320 then
Employees (5.A)32 as of Mar 23, 2026
Mar 28, 201330 then
Private funds: no history
RAUM -8.9% over the last fiscal year+6.6% a year over threeIARs 33 to 27offices 6 to 4
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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)
- RAUM per advisor
- $92.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $577,437derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 5.0derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -29%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 2,000reportedItem 5.H
- Custody
- $736M, 474 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B86%
- Individuals$208M9.0%
- Charitable organizations$74.5M3.2%
- Corporations and businesses$30.3M1.3%
- Pension and profit-sharing plans$8.5M0.4%
- State and municipal entities$1.0M0.0%
- Individual clients
- 572reported
- HNW clients
- 659reported
- Pension plan clients
- 2reported
- Charitable clients
- 38reported
- Accounts
- 3,994reported
- Financial planning clients
- 2,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $736M for 474 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
25 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Suzette Marlene Smith | Wheeling, Wv | Sep 13, 2005 | 22 y | 1 |
| David Holman MckinleyCertified Financial Planner | Wheeling, Wv | Sep 13, 2005 | 32 y | 3 |
| William Walden Carter | Wheeling, Wv | Oct 1, 2007 | 29 y | 1 |
| Arthur Lawrence Crimmins | Wheeling, Wv | Oct 1, 2007 | 20 y | 1 |
| John Tompkins Slicer | Wheeling, Wv | Nov 18, 2008 | 35 y | 1 |
| Brian Tyrone GongawareCertified Financial Planner | Wexford, Pa | May 12, 2009 | 27 y | 1 |
| David Payne Nolan | Charleston, Wv | Feb 23, 2010 | 46 y | 1 |
| John Howard WilliamsCertified Financial Planner | Charleston, Wv | Apr 7, 2014 | 12 y | 0 |
| Nicole Lynn GabrielCertified Financial Planner | Wheeling, Wv | Dec 7, 2015 | 11 y | 0 |
| Chelsea Lynn CleggCertified Financial Planner | Wheeling, Wv | Apr 5, 2016 | 11 y | 0 |
| Teresa E MichaelsCertified Financial Planner | Wheeling, Wv | Aug 30, 2016 | 16 y | 0 |
| Steven Andrew TardyChartered Financial Consultant | Charleston, Wv | Dec 22, 2017 | 16 y | 2 |
| John James Binz | Wexford, Pa | Jun 20, 2019 | 10 y | 0 |
| David Paul Wilcox | Charleston, Wv | Sep 5, 2019 | 14 y | 0 |
| Frank Ray NeiderhiserCertified Financial Planner | Wexford, Pa | Feb 4, 2020 | 26 y | 3 |
| Christopher Jay BuckCertified Financial Planner | Wheeling, Wv | Sep 9, 2020 | 32 y | 2 |
| Tyrone Conway PhillippiCertified Financial Planner | Wheeling, Wv | Sep 9, 2020 | 31 y | 2 |
| Nicholas Michael StebnerCertified Financial Planner | Miamisburg, Oh | Sep 9, 2020 | 21 y | 1 |
| Julie A BrownCertified Financial Planner | Wheeling, Wv | Sep 9, 2020 | 12 y | 1 |
| Joshua Mark JohnsonCertified Financial Planner | Miamisburg, Oh | Sep 10, 2020 | 28 y | 2 |
| Jeffrey Stenhouse | Charleston, Wv | Jun 22, 2021 | 12 y | 0 |
| James Michael O'Brien | Wheeling, Wv | Jan 7, 2022 | 10 y | 0 |
| Matthew Thomas Epling | Charleston, Wv | Feb 22, 2024 | 14 y | 0 |
| Sandra Marie Steedle | Wexford, Pa | Oct 25, 2024 | 32 y | 0 |
| Jack Fuentes | Wheeling, Wv | Jun 4, 2026 | 10 y | 0 |
Advisor movement
7 left, 0 joined in 12 months
net -7 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 28% of current headcount8 left over 36 months
Left, latest
- Ethan Klie to Mercer Global Advisors Inc.Mar 30, 2026 · RIA to RIA
- Kathy Lee White to Cambridge Investment Research Advisors, Inc.Jan 8, 2026 · RIA to affiliated broker-dealer or bank
- Adam Mitchell Headley to FartherNov 21, 2025 · RIA to RIA
- Nicole Marie Dray to FartherNov 21, 2025 · RIA to RIA
- Dino Andre Giovannone to FartherNov 21, 2025 · RIA to RIA
- Monica M Garver to Cambridge Investment Research Advisors, Inc.Nov 21, 2025 · RIA to affiliated broker-dealer or bank
- Joel A Estes to FartherNov 21, 2025 · RIA to RIA
- Kameron Thomas Smith to Parallel Advisors, LLCApr 7, 2024 · RIA to RIA
- Bradley Michael Foster to Ntv Asset Management, LLCMar 23, 2023 · RIA to RIA
- James David Walker to Kendall Capital ManagementJul 15, 2022 · RIA to RIA
- Jonathan Thomas to Lvw Advisors, LLCJan 21, 2020 · RIA to RIA
- Rodrigo Diaz to Hbks Wealth AdvisorsOct 16, 2019 · RIA to RIA
- Kara L Elledge to Wells Fargo AdvisorsMay 8, 2019 · RIA to wirehouse
- Deanna Carole Tomasetti to Burt Wealth AdvisorsMay 22, 2018 · Other
- Jay Raymond Hunt to Avantax Advisory ServicesMay 16, 2016 · Other
Joined, latest
- Joel A Estes from Park Avenue Securities LLCDec 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- Joshua Mark Johnson from Lifeplan Financial Group, Inc.Sep 10, 2020 · RIA to RIA
- Kameron Thomas Smith from Lifeplan Financial Group, Inc.Sep 10, 2020 · RIA to RIA
- Tyrone Conway Phillippi from Lifeplan Financial Group, Inc.Sep 9, 2020 · RIA to RIA
- Nicholas Michael Stebner from Lifeplan Financial Group, Inc.Sep 9, 2020 · RIA to RIA
- Julie A Brown from Lifeplan Financial Group, Inc.Sep 9, 2020 · RIA to RIA
- Christopher Jay Buck from Lifeplan Financial Group, Inc.Sep 9, 2020 · RIA to RIA
- Frank Ray Neiderhiser from Td Ameritrade, Inc.Feb 4, 2020 · Other
- Monica M Garver from Rtd Financial Advisors IncAug 17, 2019 · RIA to RIA
- Steven Andrew Tardy from Pnc Wealth ManagementDec 22, 2017 · Other
- Dino Andre Giovannone from Edward JonesApr 28, 2015 · Other
- Deanna Carole Tomasetti from UBS Financial Services Inc.Dec 22, 2014 · Other
- Bradley Michael Foster from Wells Fargo AdvisorsMay 1, 2014 · Other
- James David Walker from Yellowwood Financial Advisors, Inc.Feb 4, 2014 · Other
- Kara L Elledge from Ameriprise Financial Services, LLCJul 17, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James John Binz · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- Tyrone Brian Gongaware · Director Of Growthcontrolsince 04/2009 · owns 10% to 25%
- Holman David Mckinley · President, Managing Director, Chief Executive Officercontrolsince 09/2005 · owns 50% to 75%
- Beth Lori Payne · Chief Administrative Officercontrolsince 01/2015 · owns less than 5%
- Conway Tyrone Phillippi · Director Of Wealth Managementcontrolsince 09/2020 · owns 5% to 10%
- Leigh Meredith Trischler · Controllercontrolsince 01/2015 · owns less than 5%
- Payne David Nolan · Chief Investment Officersince 12/2024 · owns less than 5%
Related persons
Schedule D 7.A
- William W. Cartern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wheeling, Wv · principal | 24 | 1 | 5 | 1 | |
| Charleston, Wv | 10 | 1 | 0 | ||
| Miamisburg, Oh | 5 | 0 | 0 | ||
| Wexford, Pa | 5 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Charleston, WV9 employees
- Dayton, OH7 employees
- Wexford, PA4 employees
- Gaithersburg, MD2 employees
- Johnstown, PA1 employees
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 23, 2026pension consulting (Item 5.G.6): yes on the filing of 2025-03-24, no on the filing of 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
- employee count dropChange between filings · filing Mar 23, 2026employees (Item 5.A) moved from 51.0 to 32.0 (-37.0%) between the annual amendments of 2025-03-24 and 2026-03-23; the peer median change was +4.0% (1050 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,050) · 1.0% percentile
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 65.0% to 86.0% between the annual amendments of 2025-03-24 and 2026-03-23peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 5,213 to 3,994Mar 24, 2025 to Mar 23, 2026
- Advisory employees · 34 to 27Mar 24, 2025 to Mar 23, 2026
- Advisory activities · 6 to 5Mar 24, 2025 to Mar 23, 2026
- Charity clients · 35 to 38Mar 24, 2025 to Mar 23, 2026
- Corporate clients · 11 to 10Mar 24, 2025 to Mar 23, 2026
- HNW clients · 602 to 659Mar 24, 2025 to Mar 23, 2026
- Individual clients · 1,141 to 572Mar 24, 2025 to Mar 23, 2026
- Pension plan clients · 71 to 2Mar 24, 2025 to Mar 23, 2026
- Assets in custody · $327M to $736MMar 24, 2025 to Mar 23, 2026
- Employees · 51 to 32Mar 24, 2025 to Mar 23, 2026
- State-registered IARs · 33 to 27Mar 24, 2025 to Mar 23, 2026
- Other offices · 6 to 4Mar 24, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.4B to $2.2BMar 24, 2025 to Mar 23, 2026
- HNW RAUM · $1.6B to $2.0BMar 24, 2025 to Mar 23, 2026
- Individual RAUM · $398M to $208MMar 24, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $105M to $65.5MMar 24, 2025 to Mar 23, 2026
- Pension RAUM · $396M to $8.5MMar 24, 2025 to Mar 23, 2026
- RAUM · $2.5B to $2.3BMar 24, 2025 to Mar 23, 2026
- Accounts · 5,211 to 5,213Mar 28, 2024 to Mar 24, 2025
- Advisory employees · 36 to 34Mar 28, 2024 to Mar 24, 2025
- Corporate clients · 10 to 11Mar 28, 2024 to Mar 24, 2025
- HNW clients · 527 to 602Mar 28, 2024 to Mar 24, 2025
- Individual clients · 1,202 to 1,141Mar 28, 2024 to Mar 24, 2025
- Pension plan clients · 67 to 71Mar 28, 2024 to Mar 24, 2025
- Assets in custody · $244M to $327MMar 28, 2024 to Mar 24, 2025
- Employees · 48 to 51Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · More than 500 to More than 500Mar 28, 2024 to Mar 24, 2025
- State-registered IARs · 32 to 33Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $2.1B to $2.4BMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $1.4B to $1.6BMar 28, 2024 to Mar 24, 2025
- Individual RAUM · $416M to $398MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $118M to $105MMar 28, 2024 to Mar 24, 2025
- Pension RAUM · $354M to $396MMar 28, 2024 to Mar 24, 2025
- RAUM · $2.3B to $2.5BMar 28, 2024 to Mar 24, 2025
- Accounts · 5,262 to 5,211Mar 27, 2023 to Mar 28, 2024
- Charity clients · 34 to 35Mar 27, 2023 to Mar 28, 2024
- Corporate clients · 8 to 10Mar 27, 2023 to Mar 28, 2024
- HNW clients · 475 to 527Mar 27, 2023 to Mar 28, 2024
- Individual clients · 1,267 to 1,202Mar 27, 2023 to Mar 28, 2024
- Pension plan clients · 59 to 67Mar 27, 2023 to Mar 28, 2024
Signals
17 dated events
- Ethan Klie left Mckinley Carter Wealth Services, Inc. for Mercer Global Advisors Inc. (registered 2026-04-09)Mar 30, 2026 · Advisor changed firm · fact
- Kathy Lee White left Mckinley Carter Wealth Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-11-12)Jan 8, 2026 · Advisor changed firm · fact
- Adam Mitchell Headley left Mckinley Carter Wealth Services, Inc. for Farther (registered 2025-10-23)Nov 21, 2025 · Advisor changed firm · fact
- Dino Andre Giovannone left Mckinley Carter Wealth Services, Inc. for Farther (registered 2025-10-23)Nov 21, 2025 · Advisor changed firm · fact
- Nicole Marie Dray left Mckinley Carter Wealth Services, Inc. for Farther (registered 2026-07-17)Nov 21, 2025 · Advisor changed firm · fact
- Joel A Estes left Mckinley Carter Wealth Services, Inc. for Farther (registered 2025-10-28)Nov 21, 2025 · Advisor changed firm · fact
- Monica M Garver left Mckinley Carter Wealth Services, Inc. for Cambridge Investment Research Advisors, Inc. (registered 2025-11-11)Nov 21, 2025 · Advisor changed firm · fact
- 4 advisors left Mckinley Carter Wealth Services, Inc. (Wheeling, WV) for Farther on the same dayNov 21, 2025 · Team lift-out · derived
- Kameron Thomas Smith left Mckinley Carter Wealth Services, Inc. for Parallel Advisors, Llc (registered 2024-02-27)Apr 7, 2024 · Advisor changed firm · fact
- Ross Brian Lipton (Regional Director) no longer on Schedule A of Mckinley Carter Wealth Services, Inc. (listed 2023-03-27, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- James John Binz (Chief Compliance Officer) appeared on Schedule A of Mckinley Carter Wealth Services, Inc.Mar 27, 2023 · Control person joined · fact
- Bradley Michael Foster left Mckinley Carter Wealth Services, Inc. for Ntv Asset Management, Llc (registered 2023-03-20)Mar 23, 2023 · Advisor changed firm · fact
- James David Walker left Mckinley Carter Wealth Services, Inc. for Kendall Capital Management (registered 2022-07-11)Jul 15, 2022 · Advisor changed firm · fact
- Mckinley Carter Wealth Services, Inc. reported RAUM $1.8B, up 43% from $1.3B (2020-12-04 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Conway Tyrone Phillippi (Regional Managing Director) appeared on Schedule A of Mckinley Carter Wealth Services, Inc.Sep 14, 2020 · Control person joined · fact
- Mckinley Carter Wealth Services, Inc. reported RAUM $1.3B, up 27% from $1.0B (2020-01-23 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Walden William Carter (Director, Wealth Management And Trust Services) no longer on Schedule A of Mckinley Carter Wealth Services, Inc. (listed 2019-01-04, absent 2019-03-22)Mar 22, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 866-306-2400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/mckinley-carterreportedpublic record, Form ADV, Sep 17, 2026
- Website
- mckinleycarter.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 304-230-2400reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- mckinleycarter.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- mckinleycarter.com/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
- $92.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026