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••••••••
Legal name F•• F••••••••• I•••
Latest filing Jun 22, 2026
First filing on the tape Apr 18, 2022 · 22 filings
SEC status approved since May 18, 2022
RAUM
$272M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$263M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$54.4M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$272M as of Jun 22, 2026
Feb 2, 2023$185M then
HNW client RAUM$124M as of Jun 22, 2026
Feb 2, 2023$68.3M then
State-registered IARs (5.B.3)6 as of Jun 22, 2026
Feb 2, 20236 then
Employees (5.A)6 as of Jun 22, 2026
Feb 2, 20236 then
Private funds: no history
RAUM +6.7% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 22, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $54.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $999,970derivedHNW RAUM over HNW clients
- Average account
- $270,187derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $267MreportedItem 5.I
- Custody
- $31.9M, 69 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$139M51%
- High-net-worth individuals$124M46%
- Pension and profit-sharing plans$8.2M3.0%
- Corporations and businesses$153,1960.1%
- Charitable organizations$142,5080.1%
- Individual clients
- 528reported
- HNW clients
- 124reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,006reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $5.0M managedreported
- Custody of client assets
- $31.9M for 69 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• M•••••• F••Certified Financial Planner | Wyomissing, Pa | May 23, 2022 | 26 y | 3 |
| E••• M••••••• M••••••• | Wyomissing, Pa | May 23, 2022 | 11 y | 1 |
| J••••••••• L• P•••••Certified Financial Planner | Carlisle, Pa | May 23, 2022 | 44 y | 3 |
| T••••• A••• D•••••• | Carlisle, Pa | May 23, 2022 | 13 y | 1 |
| S•••••••• L••• B••••Certified Financial Planner | Carlisle, Pa | May 23, 2022 | 11 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
none on the tape
Joined, latest
- K•••• M•••••• F•• from I••••• F•••••••• C•••••••••May 23, 2022 · Other
- T••••• A••• D•••••• from I••••• F•••••••• C•••••••••May 23, 2022 · Other
- E••• M••••••• M••••••• from I••••• F•••••••• C•••••••••May 23, 2022 · Other
- J••••••••• L• P••••• from I••••• F•••••••• C•••••••••May 23, 2022 · Other
- S•••••••• L••• B•••• from I••••• F•••••••• C•••••••••May 23, 2022 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I••••• F•••••••• C•••••••••Feb 16, 2018 · Appleton, Wi
- 2 joined from I••••• F•••••••• C•••••••••Feb 14, 2018 · Wyomissing, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• T•••••• A••• · Managing Partnercontrolsince 06/2020 · owns 10% to 25%
- F••• K••••• M•••••• · Managing Partner, Chief Compliance Officer, & Presidentcontrolsince 06/2020 · owns 50% to 75%
- M•••••••• E•••• M••••••• · Managing Partnercontrolsince 06/2020 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Wyomissing, Pa · principal | 5 | 0 | 0 | ||
| Carlisle, Pa | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Carlisle, PA6 employees
- Harrisburg, PA5 employees
What changed
consecutive filings, newest first
- Accounts · 978 to 1,006Aug 14, 2025 to Mar 18, 2026
- HNW clients · 115 to 124Aug 14, 2025 to Mar 18, 2026
- Pension plan clients · 10 to 2Aug 14, 2025 to Mar 18, 2026
- Assets in custody · unset to 31880219.0Aug 14, 2025 to Mar 18, 2026
- Custody of client assets · false to trueAug 14, 2025 to Mar 18, 2026
- Financial planning clients · 51-100 to 0Aug 14, 2025 to Mar 18, 2026
- Discretionary RAUM · $243M to $272MAug 14, 2025 to Mar 18, 2026
- HNW RAUM · $104M to $124MAug 14, 2025 to Mar 18, 2026
- Individual RAUM · $130M to $139MAug 14, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $12.2M to $0Aug 14, 2025 to Mar 18, 2026
- Pension RAUM · $19.5M to $8.2MAug 14, 2025 to Mar 18, 2026
- RAUM · $255M to $272MAug 14, 2025 to Mar 18, 2026
- Wrap assets (manager) · $5.3M to $5.0MAug 14, 2025 to Mar 18, 2026
- Financial planning clients · 51-100 to 51-100Mar 8, 2025 to Jun 18, 2025
- Accounts · 945 to 978Oct 2, 2024 to Mar 8, 2025
- HNW clients · 107 to 115Oct 2, 2024 to Mar 8, 2025
- Individual clients · 526 to 528Oct 2, 2024 to Mar 8, 2025
- Pension plan clients · 11 to 10Oct 2, 2024 to Mar 8, 2025
- Discretionary RAUM · $222M to $243MOct 2, 2024 to Mar 8, 2025
- HNW RAUM · $89.5M to $104MOct 2, 2024 to Mar 8, 2025
- Individual RAUM · $125M to $130MOct 2, 2024 to Mar 8, 2025
- Non-discretionary RAUM · $10.3M to $12.2MOct 2, 2024 to Mar 8, 2025
- Pension RAUM · $17.9M to $19.5MOct 2, 2024 to Mar 8, 2025
- RAUM · $232M to $255MOct 2, 2024 to Mar 8, 2025
- Wrap assets (manager) · $4.3M to $5.3MOct 2, 2024 to Mar 8, 2025
- Wrap assets (sponsor) · $10.3M to $0Oct 2, 2024 to Mar 8, 2025
- Accounts · 901 to 945Feb 7, 2024 to Feb 29, 2024
- HNW clients · 99 to 107Feb 7, 2024 to Feb 29, 2024
- Individual clients · 528 to 526Feb 7, 2024 to Feb 29, 2024
- Pension plan clients · 3 to 11Feb 7, 2024 to Feb 29, 2024
- Discretionary RAUM · $185M to $222MFeb 7, 2024 to Feb 29, 2024
- HNW RAUM · $68.3M to $89.5MFeb 7, 2024 to Feb 29, 2024
- Individual RAUM · $109M to $125MFeb 7, 2024 to Feb 29, 2024
- Non-discretionary RAUM · $0 to $10.3MFeb 7, 2024 to Feb 29, 2024
- Pension RAUM · $7.2M to $17.9MFeb 7, 2024 to Feb 29, 2024
- RAUM · $185M to $232MFeb 7, 2024 to Feb 29, 2024
- Wrap assets (manager) · $0 to $4.3MFeb 7, 2024 to Feb 29, 2024
- Wrap assets (sponsor) · $2.7M to $10.3MFeb 7, 2024 to Feb 29, 2024
- Insurance-licensed employees · 5 to 0Sep 20, 2023 to Feb 7, 2024
- Accounts · 892 to 901Jan 4, 2023 to Feb 2, 2023
Signals
1 dated events
- F•• F••••••••• I•• D•• A••••••• F•••••••• filed its initial SEC registration (Form ADV)Apr 18, 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 phone
- 717-258-0751reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-376-5981reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 610-378-5398reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/alliancefinancialofpareportedpublic record, Form ADV, Sep 18, 2026
- Website
- a•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 610-376-5981reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- a•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- a•••••••••.comreportedpublished 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
- $54.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026