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
A•••• S••••••• R••••••••• P••• C••••••••• L••
Latest filing Mar 4, 2026
First filing on the tape Jan 17, 2012 · 41 filings
SEC status approved since May 8, 2018
RAUM
$116M
reported, Item 5.F
Discretionary
3.7%
of RAUM
Private clients
96%
$111M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$29.1M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$116M as of Mar 4, 2026
Mar 21, 2012$60.4M then
HNW client RAUM$70.0M as of Mar 4, 2026
Jan 28, 2019$24.2M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Mar 21, 20120 then
Employees (5.A)5 as of Mar 4, 2026
Feb 7, 20155 then
Private funds: no history
RAUM +28% over the last fiscal year+23% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 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
- $29.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $215,935derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.7%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$70.0M60%
- Individuals$41.3M35%
- State and municipal entities$4.3M3.7%
- Charitable organizations$571,0840.5%
- Corporations and businesses$250,5910.2%
- Individual clients
- 212reported
- HNW clients
- 25reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 539reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• G•••••• F•••• | Camp Hill, Pa | Nov 5, 2009 | 25 y | 3 |
| S•••• S•••••• H•••••••Certified Financial Planner | Camp Hill, Pa | Nov 5, 2009 | 24 y | 5 |
| K••••• T•••• M•••• | Camp Hill, Pa | Oct 15, 2018 | 14 y | 0 |
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
none on the tape
Joined, latest
- C•••• G•••••• F•••• from A•••• S••••••• C••••••••• L••Nov 5, 2009 · Other
- S•••• S•••••• H••••••• from A•••• S••••••• C••••••••• L••Nov 5, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• S••••• S•••••• · Chief Compliance Officer, Financial Advisor, Partnercontrolsince 08/2020 · owns 25% to 50%
- M••••• K•••••• T•••• · Owner, Financial Advisor And Partnercontrolsince 08/2020 · owns 25% to 50%
- M••••• N•••• J••••• · Director Of Operations, Partnercontrolsince 08/2020 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list A•••• S••••••• R••••••••• P••• C••••••••• L•• as a related person
- 141625 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Camp Hill, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 488 to 539Feb 18, 2025 to Feb 16, 2026
- HNW clients · 18 to 25Feb 18, 2025 to Feb 16, 2026
- Individual clients · 190 to 212Feb 18, 2025 to Feb 16, 2026
- Discretionary RAUM · $3.9M to $4.3MFeb 18, 2025 to Feb 16, 2026
- HNW RAUM · $53.8M to $70.0MFeb 18, 2025 to Feb 16, 2026
- Individual RAUM · $32.6M to $41.3MFeb 18, 2025 to Feb 16, 2026
- Non-discretionary RAUM · $87.1M to $112MFeb 18, 2025 to Feb 16, 2026
- RAUM · $91.0M to $116MFeb 18, 2025 to Feb 16, 2026
- Accounts · 389 to 488Apr 15, 2024 to Feb 18, 2025
- HNW clients · 17 to 18Apr 15, 2024 to Feb 18, 2025
- Individual clients · 166 to 190Apr 15, 2024 to Feb 18, 2025
- Financial planning clients · 101-250 to 101-250Apr 15, 2024 to Feb 18, 2025
- Discretionary RAUM · $3.6M to $3.9MApr 15, 2024 to Feb 18, 2025
- HNW RAUM · $45.1M to $53.8MApr 15, 2024 to Feb 18, 2025
- Individual RAUM · $26.4M to $32.6MApr 15, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $72.2M to $87.1MApr 15, 2024 to Feb 18, 2025
- RAUM · $75.8M to $91.0MApr 15, 2024 to Feb 18, 2025
- Accounts · 294 to 389Nov 27, 2023 to Mar 20, 2024
- Charity clients · 0 to 1Nov 27, 2023 to Mar 20, 2024
- Corporate clients · 0 to 3Nov 27, 2023 to Mar 20, 2024
- HNW clients · 19 to 17Nov 27, 2023 to Mar 20, 2024
- Individual clients · 127 to 166Nov 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $3.1M to $3.6MNov 27, 2023 to Mar 20, 2024
- HNW RAUM · $45.2M to $45.1MNov 27, 2023 to Mar 20, 2024
- Individual RAUM · $14.5M to $26.4MNov 27, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $59.7M to $72.2MNov 27, 2023 to Mar 20, 2024
- RAUM · $62.8M to $75.8MNov 27, 2023 to Mar 20, 2024
- Accounts · 278 to 294Jul 14, 2022 to Feb 13, 2023
- HNW clients · 17 to 19Jul 14, 2022 to Feb 13, 2023
- Individual clients · 126 to 127Jul 14, 2022 to Feb 13, 2023
- Discretionary RAUM · $3.0M to $3.1MJul 14, 2022 to Feb 13, 2023
- HNW RAUM · $45.5M to $45.2MJul 14, 2022 to Feb 13, 2023
- Individual RAUM · $13.8M to $14.5MJul 14, 2022 to Feb 13, 2023
- Non-discretionary RAUM · $59.3M to $59.7MJul 14, 2022 to Feb 13, 2023
- RAUM · $62.3M to $62.8MJul 14, 2022 to Feb 13, 2023
- Accounts · 293 to 278Jan 21, 2022 to Jul 14, 2022
- Corporate clients · 2 to 0Jan 21, 2022 to Jul 14, 2022
- HNW clients · 15 to 17Jan 21, 2022 to Jul 14, 2022
- Individual clients · 97 to 126Jan 21, 2022 to Jul 14, 2022
- Pension plan clients · 35 to 0Jan 21, 2022 to Jul 14, 2022
Signals
8 dated events
- A•••• S••••••• R••••••••• P••• C••••••••• L•• reported RAUM $62.3M, down 87% from $475.7M (2022-01-21 to 2022-07-14)Jul 14, 2022 · RAUM change · derived
- Gregory Clark Frese (Managing Member/Chief Compliance Officer) no longer on Schedule A of A•••• S••••••• R••••••••• P••• C••••••••• L•• (listed 2020-06-16, absent 2020-08-27)Aug 27, 2020 · Control person left · inference
- Stephen Stacy Heistand (Chief Compliance Officer, Financial Advisor, Partner) appeared on Schedule A of A•••• S••••••• R••••••••• P••• C••••••••• L••Aug 27, 2020 · Control person joined · fact
- T•••• K••••• M•••• (Owner, Financial Advisor And Partner) appeared on Schedule A of A•••• S••••••• R••••••••• P••• C••••••••• L••Aug 27, 2020 · Control person joined · fact
- J••••• N••• M•••• (Director Of Operations, Partner) appeared on Schedule A of A•••• S••••••• R••••••••• P••• C••••••••• L••Aug 27, 2020 · Control person joined · fact
- A•••• S••••••• R••••••••• P••• C••••••••• L•• reported RAUM $341.1M, up 43% from $238.6M (2019-09-18 to 2020-02-28)Feb 28, 2020 · RAUM change · derived
- A•••• S••••••• R••••••••• P••• C••••••••• L•• reported RAUM $238.6M, up 76% from $135.2M (2019-01-22 to 2019-01-28)Jan 28, 2019 · RAUM change · derived
- A•••• S••••••• R••••••••• P••• C••••••••• L•• filed its initial SEC registration (Form ADV)Jan 25, 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
- Business phone
- 717-602-1100reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (717) 602-1100reportedpublic record, Form ADV, Mar 4, 2026
- Team page
- asrpc.com/about-us/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $29.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026