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

Hummel Wealth Management, LLC

Former SEC-registered adviserBerlin, OhioCRD 143523SEC 801-79892IAPD
Latest filing Jun 14, 2016
First filing on the tape Jun 3, 2014 · 14 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
13
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM: $92.4M
HNW client RAUM: no history
State-registered IARs (5.B.3)18 as of Mar 15, 2016
Feb 25, 201523 then
Employees (5.A)19 as of Mar 15, 2016
Feb 25, 201524 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 23 to 18
Practice profile
derived from the filing of Jun 14, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.2derived6 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-22%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
pension consultingreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Alexis Dawn GlessnerBerlin, OhJan 29, 202511 y0
Steven Thomas SmithCertified Financial PlannerBerlin, Oh Jun 8, 202619 y0
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 headcount2 left over 36 months
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
    • Michael Joshua Hartzler · Chief Compliance Officercontrol
      since 10/2014 · owns less than 5%
    • David Karl Schlabach · Chief Executive Officercontrol
      since 04/2007 · owns less than 5%
    Entity owners
    • Hummel Financial Advisors Ltd. · Owner
      direct · owns 75% or more
    • Hummel Group, Inc. · Owner
      indirect · owns 75% or more of Hummel Financial Advisors, Ltd.
    Related persons
    Schedule D 7.A
    • Hummel Group, Inc.
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Berlin, Oh · principal1320
    Orville, Oh210
    Wooster, Oh200
    Farmington Hills, Mi000
    Offices
    Schedule D 1.F, the 25 largest
    • Canton, OH
    • Coshocton, OH
    • Orrville, OH
    • Wooster, OH
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 97.0 to unset
      Dec 23, 2015 to Mar 15, 2016
    • Advisory employees · 23 to 18
      Dec 23, 2015 to Mar 15, 2016
    • Advisory activities · 4 to 1
      Dec 23, 2015 to Mar 15, 2016
    • BD registered reps · 24 to 19
      Dec 23, 2015 to Mar 15, 2016
    • Employees · 24 to 19
      Dec 23, 2015 to Mar 15, 2016
    • Insurance-licensed employees · 17 to 15
      Dec 23, 2015 to Mar 15, 2016
    • Financial planning clients · 1-10 to unset
      Dec 23, 2015 to Mar 15, 2016
    • State-registered IARs · 23 to 18
      Dec 23, 2015 to Mar 15, 2016
    • Discretionary RAUM · 3873668.0 to unset
      Dec 23, 2015 to Mar 15, 2016
    • Non-discretionary RAUM · 88528939.0 to unset
      Dec 23, 2015 to Mar 15, 2016
    • RAUM · 92402607.0 to unset
      Dec 23, 2015 to Mar 15, 2016
    • Accounts · 221 to 97
      Dec 17, 2014 to Feb 25, 2015
    • Advisory employees · 20 to 23
      Dec 17, 2014 to Feb 25, 2015
    • BD registered reps · 20 to 24
      Dec 17, 2014 to Feb 25, 2015
    • Employees · 20 to 24
      Dec 17, 2014 to Feb 25, 2015
    • State-registered IARs · 20 to 23
      Dec 17, 2014 to Feb 25, 2015
    • Discretionary RAUM · $13.1M to $3.9M
      Dec 17, 2014 to Feb 25, 2015
    • Non-discretionary RAUM · $107M to $88.5M
      Dec 17, 2014 to Feb 25, 2015
    • RAUM · $120M to $92.4M
      Dec 17, 2014 to Feb 25, 2015
    Signals
    4 dated events
    • Jacob Charles Mcconnell left Hummel Wealth Management, Llc for On Investment Management Co (registered 2022-03-08)
      Jun 4, 2025 · Advisor changed firm · fact
    • Michael Jerome Kucera left Hummel Wealth Management, Llc for Schwartz & Co. (registered 2024-12-17)
      Dec 9, 2024 · Advisor changed firm · fact
    • Lukas Alexander Burch left Hummel Wealth Management, Llc for Commonwealth Financial Network (registered 2024-01-04)
      Feb 14, 2022 · Advisor changed firm · fact
    • Hummel Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jun 3, 2014 · 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
    HUMMELGRP.COMreportedpublic record, Form ADV, Sep 17, 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
    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