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
T••••• S••••••••• S•••••••• I•••
Latest filing Feb 23, 2026
First filing on the tape May 2, 2019 · 21 filings
SEC status approved since Jun 2, 2022
RAUM
$253M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$226M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$63.1M
derived; firm RAUM over IAPD count
Employees
11
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$253M as of Feb 23, 2026
Jan 17, 2023$103M then
HNW client RAUM$86.5M as of Feb 23, 2026
Jan 17, 2023$19.7M then
State-registered IARs (5.B.3)4 as of Feb 23, 2026
Jan 17, 20232 then
Employees (5.A)11 as of Feb 23, 2026
Jan 17, 20232 then
Private funds: no history
RAUM +65% over the last fiscal year+35% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $63.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 191derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +65%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $253MreportedItem 5.I
- Custody
- $195M, 681 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
- Individuals$139M55%
- High-net-worth individuals$86.5M34%
- Corporations and businesses$26.5M11%
- Individual clients
- 730reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 126reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $195M for 681 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A••• T•••••Certified Financial Planner | Harrisburg, Pa | Jan 6, 2020 | 31 y | 2 |
| S•••• D•••• M•••••••• | Harrisburg, Pa | Jan 6, 2020 | 20 y | 4 |
| J•••• M• L••• | Harrisburg, Pa | May 26, 2022 | 22 y | 3 |
| A••• P• K••••• | Harrisburg, Pa | Nov 6, 2024 | 12 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
- A•••• R• K•••••• to A•••••••• W••••• C••••••••• L••Jul 28, 2020 · RIA to RIA
Joined, latest
- J•••• M• L••• from L•• F•••••••• L••May 26, 2022 · RIA to RIA
- M•••••• A••• T••••• from B••••••••• C•••••• M••••••••• L••Jan 6, 2020 · RIA to RIA
- S•••• D•••• M•••••••• from B••••••••• C•••••• M••••••••• L••Jan 6, 2020 · RIA to RIA
- A•••• R• K•••••• from B••••••••• C•••••• M••••••••• L••Jan 6, 2020 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from B••••••••• C•••••• M••••••••• L••Jan 15, 2020 · Wheaton, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••• M••••••• A••• · Presidentcontrolsince 08/2017 · owns 75% or more
- F••••••• S••••• G••••• · Chief Compliance Officersince 11/2023 · owns less than 5%
Related persons
Schedule D 7.A
- T••••• R••••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harrisburg, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 23, 2026RAUM (Item 5.F) moved from $152,883,622 to $252,504,708 (+65.0%) between the annual amendments of 2025-03-11 and 2026-02-23; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- account count collapseChange between filings · filing Feb 23, 2026accounts (Item 5.F.2.f) moved from 1,025.0 to 126.0 (-88.0%) between the annual amendments of 2025-03-11 and 2026-02-23; the peer median change was +5.0% (3687 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 0.1% percentile
Data quality: total accounts (5.F.2.f) is below the private client count (5.D) by half or more on the filing of 2026-02-23
What changed
consecutive filings, newest first
- Accounts · 1,025 to 126Sep 16, 2025 to Feb 23, 2026
- Corporate clients · 1 to 2Sep 16, 2025 to Feb 23, 2026
- HNW clients · 24 to 35Sep 16, 2025 to Feb 23, 2026
- Individual clients · 599 to 730Sep 16, 2025 to Feb 23, 2026
- Assets in custody · $77.9M to $195MSep 16, 2025 to Feb 23, 2026
- Employees · 12 to 11Sep 16, 2025 to Feb 23, 2026
- Financial planning clients · to 0Sep 16, 2025 to Feb 23, 2026
- Discretionary RAUM · $153M to $252MSep 16, 2025 to Feb 23, 2026
- HNW RAUM · $41.2M to $86.5MSep 16, 2025 to Feb 23, 2026
- Individual RAUM · $112M to $139MSep 16, 2025 to Feb 23, 2026
- Non-discretionary RAUM · $382,321 to $146,150Sep 16, 2025 to Feb 23, 2026
- RAUM · $153M to $253MSep 16, 2025 to Feb 23, 2026
- Financial planning clients · unset to Mar 11, 2025 to Jul 15, 2025
- Accounts · 932 to 1,025Jul 19, 2024 to Mar 11, 2025
- Advisory employees · 3 to 4Jul 19, 2024 to Mar 11, 2025
- Corporate clients · 2 to 1Jul 19, 2024 to Mar 11, 2025
- Individual clients · 906 to 599Jul 19, 2024 to Mar 11, 2025
- Assets in custody · unset to 77897849.0Jul 19, 2024 to Mar 11, 2025
- Custody of client assets · false to trueJul 19, 2024 to Mar 11, 2025
- Employees · 10 to 12Jul 19, 2024 to Mar 11, 2025
- State-registered IARs · 3 to 4Jul 19, 2024 to Mar 11, 2025
- Discretionary RAUM · $125M to $153MJul 19, 2024 to Mar 11, 2025
- HNW RAUM · $32.6M to $41.2MJul 19, 2024 to Mar 11, 2025
- Individual RAUM · $92.2M to $112MJul 19, 2024 to Mar 11, 2025
- Non-discretionary RAUM · $0 to $382,321Jul 19, 2024 to Mar 11, 2025
- RAUM · $125M to $153MJul 19, 2024 to Mar 11, 2025
- Accounts · 920 to 932Dec 4, 2023 to Mar 6, 2024
- HNW clients · 11 to 24Dec 4, 2023 to Mar 6, 2024
- Individual clients · 576 to 906Dec 4, 2023 to Mar 6, 2024
- Employees · 4 to 10Dec 4, 2023 to Mar 6, 2024
- Discretionary RAUM · $103M to $125MDec 4, 2023 to Mar 6, 2024
- HNW RAUM · $19.7M to $32.6MDec 4, 2023 to Mar 6, 2024
- Individual RAUM · $83.0M to $92.2MDec 4, 2023 to Mar 6, 2024
- RAUM · $103M to $125MDec 4, 2023 to Mar 6, 2024
- Advisory employees · 2 to 3Jan 17, 2023 to Apr 6, 2023
- Assets in custody · 0.0 to unsetJan 17, 2023 to Apr 6, 2023
- Custody of client assets · true to falseJan 17, 2023 to Apr 6, 2023
- Employees · 2 to 4Jan 17, 2023 to Apr 6, 2023
- State-registered IARs · 2 to 3Jan 17, 2023 to Apr 6, 2023
- Accounts · 544 to 920Jun 14, 2022 to Jan 17, 2023
Signals
2 dated events
- Graves Stacy Fleming (Chief Compliance Officer) appeared on Schedule A of Taylor Securities Services, Inc.Dec 4, 2023 · Control person joined · fact
- Taylor Securities Services, Inc. filed its initial SEC registration (Form ADV)May 3, 2022 · 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 email
- info@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- amanda@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jaylene@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jocelyn@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- jp@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- kelly@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- wayne@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tracy@taylorretirementservices.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 717-232-5808reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/taylor-retirement-services-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- taylorretirementservices.com/financial-servicesreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-232-5808reportedpublic record, Form ADV, Feb 23, 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
- $63.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026