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•••••• F••••• W•••••• I•••
Latest filing Jun 17, 2026
First filing on the tape Apr 16, 2018 · 26 filings
SEC status approved since May 17, 2018
RAUM
$222M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$222M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.9M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$222M as of Jun 17, 2026
Mar 21, 2019$90.4M then
HNW client RAUM$174M as of Jun 17, 2026
Mar 21, 2019$59.8M then
State-registered IARs (5.B.3)3 as of Jun 17, 2026
Mar 21, 20194 then
Employees (5.A)6 as of Jun 17, 2026
Mar 21, 20198 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 17, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 74derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $212,829derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $148M, 93 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$174M79%
- Individuals$47.1M21%
- Individual clients
- 158reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,041reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $148M for 93 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• B•••••• T••••••• | Mechanicsburg, Pa | Jul 28, 2017 | 23 y | 1 |
| K•• L•• K••••••• | Mechanicsburg, Pa | Jul 28, 2017 | 30 y | 1 |
| W••• A•••• H•••••• | Mechanicsburg, Pa | Jul 28, 2017 | 26 y | 2 |
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
- F•••• R••••• C•••••• to H•••••• R••• A•••••••Sep 14, 2020 · RIA to a state-registered adviser
- S••• T• H•••••••• to A••••••••• F•••••••• S•••••••• L••Oct 19, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- S••••• B•••••• T••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 28, 2017 · Wirehouse to independent RIA
- S••• T• H•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 28, 2017 · Wirehouse to independent RIA
- K•• L•• K••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 28, 2017 · Wirehouse to independent RIA
- W••• A•••• H•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 28, 2017 · Wirehouse to independent RIA
- F•••• R••••• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 9, 2017 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 31, 2017 · Camp Hill, Pa
- 2 joined from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 4, 2016 · Wyomissing, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• W•••• A•••• · Founder, Chief Compliance Officercontrolsince 07/2017 · owns 5% to 10%
- K•••••••• K••• L•• · Founder, Chief Executive Officer, Senior Family Wealth Advisorcontrolsince 07/2017 · owns 75% or more
- T•••••••• S•••••• B•••••• · Chief Operating Officer, Family Wealth Advisorcontrolsince 04/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mechanicsburg, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 990 to 1,041Aug 6, 2025 to Feb 5, 2026
- HNW clients · 56 to 65Aug 6, 2025 to Feb 5, 2026
- Individual clients · 214 to 158Aug 6, 2025 to Feb 5, 2026
- Assets in custody · $30.6M to $148MAug 6, 2025 to Feb 5, 2026
- Discretionary RAUM · $187M to $216MAug 6, 2025 to Feb 5, 2026
- HNW RAUM · $146M to $174MAug 6, 2025 to Feb 5, 2026
- Individual RAUM · $48.5M to $47.1MAug 6, 2025 to Feb 5, 2026
- Non-discretionary RAUM · $7.9M to $5.4MAug 6, 2025 to Feb 5, 2026
- RAUM · $194M to $222MAug 6, 2025 to Feb 5, 2026
- Accounts · 821 to 990Jul 29, 2024 to Feb 19, 2025
- HNW clients · 51 to 56Jul 29, 2024 to Feb 19, 2025
- Individual clients · 178 to 214Jul 29, 2024 to Feb 19, 2025
- Assets in custody · $107M to $30.6MJul 29, 2024 to Feb 19, 2025
- Financial planning clients · 11-25 to 11-25Jul 29, 2024 to Feb 19, 2025
- Discretionary RAUM · $148M to $187MJul 29, 2024 to Feb 19, 2025
- HNW RAUM · $92.6M to $146MJul 29, 2024 to Feb 19, 2025
- Individual RAUM · $65.7M to $48.5MJul 29, 2024 to Feb 19, 2025
- Non-discretionary RAUM · $10.6M to $7.9MJul 29, 2024 to Feb 19, 2025
- RAUM · $158M to $194MJul 29, 2024 to Feb 19, 2025
- Accounts · 900 to 821Apr 26, 2023 to Feb 8, 2024
- Business name · A•••••• F••••• W••••• L•• to A•••••• F••••• W•••••• I•••Apr 26, 2023 to Feb 8, 2024
- HNW clients · 34 to 51Apr 26, 2023 to Feb 8, 2024
- Individual clients · 148 to 178Apr 26, 2023 to Feb 8, 2024
- Assets in custody · $29.4M to $107MApr 26, 2023 to Feb 8, 2024
- Legal name · A•••••• F••••• W••••• L•• to A•••••• F••••• W•••••• I•••Apr 26, 2023 to Feb 8, 2024
- Discretionary RAUM · $123M to $148MApr 26, 2023 to Feb 8, 2024
- HNW RAUM · $87.5M to $92.6MApr 26, 2023 to Feb 8, 2024
- Individual RAUM · $50.9M to $65.7MApr 26, 2023 to Feb 8, 2024
- Non-discretionary RAUM · $15.3M to $10.6MApr 26, 2023 to Feb 8, 2024
- RAUM · $138M to $158MApr 26, 2023 to Feb 8, 2024
- Succession · true to falseApr 26, 2023 to Feb 8, 2024
- Organization form · Limited Liability Company to CorporationMar 27, 2023 to Apr 26, 2023
- Accounts · 911 to 900Sep 28, 2022 to Mar 27, 2023
- BD registered reps · 1 to 2Sep 28, 2022 to Mar 27, 2023
- HNW clients · 49 to 34Sep 28, 2022 to Mar 27, 2023
- Individual clients · 151 to 148Sep 28, 2022 to Mar 27, 2023
- Assets in custody · $31.4M to $29.4MSep 28, 2022 to Mar 27, 2023
- Discretionary RAUM · $135M to $123MSep 28, 2022 to Mar 27, 2023
- HNW RAUM · $123M to $87.5MSep 28, 2022 to Mar 27, 2023
- Individual RAUM · $35.5M to $50.9MSep 28, 2022 to Mar 27, 2023
Signals
4 dated events
- B•••••• S••••• T••••••• (Chief Operating Officer, Family Wealth Advisor) appeared on Schedule A of A•••••• F••••• W•••••• I•••Apr 26, 2023 · Control person joined · fact
- A•••••• F••••• W••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 27, 2023 · Succession (Item 4) · fact
- Robert Frank Collins (Founding Partner, Senior Family Wealth Advisor) no longer on Schedule A of A•••••• F••••• W•••••• I••• (listed 2020-07-31, absent 2020-09-14)Sep 14, 2020 · Control person left · inference
- A•••••• F••••• W••••• L•• filed its initial SEC registration (Form ADV)Apr 16, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- A•••••• F••••• W•••••• I••• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 717-276-1501reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- A••••••FAMILYWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (717) 276-1501reportedpublic record, Form ADV, Jun 17, 2026
- Contact form
- avantrafamilywealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- avantrafamilywealth.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
- $73.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026