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.
SEC-registered adviser
Federated Securities Corp.
Latest filing Jun 29, 2026
First filing on the tape Nov 11, 2011 · 33 filings
SEC status approved since Aug 17, 2009
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
209
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
311
213 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$0 as of Jun 29, 2026
Mar 27, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)213 as of Jun 29, 2026
Mar 29, 20120 then
Employees (5.A)311 as of Jun 29, 2026
Mar 25, 2013276 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 203 to 213offices 0 to 3
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM 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
- 52.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +4.9%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- educational seminars, otherreportedItem 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 a broker-dealer (6.A.1)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=216.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Charles Lee Davis | Gibsonia, Pa | Oct 24, 2011 | 33 y | 0 |
| Elizabeth Mary Appel | Pittsburgh, Pa | Nov 21, 2019 | 26 y | 2 |
Advisor movement
9 left, 1 joined in 12 months
net -8 in 12 months2 left in 90 days0 joined in 90 daysdeparture rate 4.3% of current headcount12 left over 36 months
Left, latest
- Drew Haley to Mdt Advisers, A Division Of Federated Mdta LLCAug 25, 2026 · Other
- John Robert Stanley to Cohen & Steers Capital Management Inc.Jul 17, 2026 · Other
- Robert Lefone James to Federated Investment CounselingJun 18, 2026 · Other
- Scott Robert Kelley to Mdt Advisers, A Division Of Federated Mdta LLCJun 1, 2026 · Other
- Nicholas Rubinowicz to Federated Investment CounselingMay 11, 2026 · Other
- Emily Coughlin to Federated Investment CounselingMay 7, 2026 · Other
- Michael E Brown to Federated Investment CounselingFeb 26, 2026 · Other
- Benjamin Adam Morgret to Mdt Advisers, A Division Of Federated Mdta LLCJan 23, 2026 · Other
- Nicholas Vincent Fiano to Federated Investment CounselingJan 7, 2026 · Other
- Matthew Lawrence Ryan to Mdt Advisers, A Division Of Federated Mdta LLCAug 11, 2025 · Other
- Ryan Alexander Fairbrother to Federated Global Investment Management Corp.Jun 26, 2025 · Other
- Elizabeth Dorothy Kline to Mdt Advisers, A Division Of Federated Mdta LLCJul 12, 2024 · Other
- Jeffrey Paul Machiele to Morgan StanleyJul 13, 2015 · Other
- Stephen Joseph Carl to High Probability Advisors, LLCJul 22, 2014 · Other
- Timothy Joseph Shanahan to Cobblestone Capital Advisors, LLCApr 21, 2011 · Other
Joined, latest
- Jeremy A Taylor from Catholic Investment Services, Inc.Oct 24, 2025 · Other
- Caitlyn Marie Dalessandro from Bny Mellon Securities CorporationApr 10, 2025 · Other
- Michael Honer from Chartwell Investment Partners, LLCMar 4, 2025 · Other
- Samuel John Layton from Pruco Securities, LLCOct 15, 2024 · Other
- Nicholas Rubinowicz from UBS Financial Services Inc.Jan 3, 2024 · Other
- Scott Robert Kelley from Federated Investment CounselingMay 11, 2022 · Other
- Caroline Elizabeth Kafafian from Neuberger Berman Bd LLCMar 4, 2021 · Other
- Justin Andrew Bard from Clearbridge Investments, LLCJan 29, 2021 · Other
- Elizabeth Mary Appel from Janney Montgomery Scott LLCNov 21, 2019 · Other
- Benjamin Adam Morgret from Federated Investment CounselingSep 16, 2019 · Other
- Emory Lincoln Redd from Schenley Park Capital Management, LLCMar 15, 2019 · Other
- Gregory Sterzel from New York Life Investment Management LLCSep 28, 2018 · Other
- Michael Daniel Klim from Equitable Advisors, LLCJan 24, 2018 · Other
- Drew Haley from Federated Investment CounselingFeb 9, 2016 · Other
- Christopher Paul Minton from Hatteras Investment Partners, LPOct 6, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Peter Joseph Germain · Director/Vice Presidentcontrolsince 07/2004 · owns less than 5%
- Paul Adam Uhlman · Director And Presidentcontrolsince 06/2016 · owns less than 5%
- Stephen Paul Van Meter · Chief Compliance Officercontrolsince 07/2015 · owns less than 5%
- Jeff Davis Jr Aronsohn · Compliance Officersince 04/2021 · owns less than 5%
- Bryan Markham Burke · Executive Vice Presidentsince 03/2024 · owns less than 5%
- Thomas Robert Donahue · Executive Vice President And Directorsince 01/2000 · owns less than 5%
- Peter William Eisenbrandt · Executive Vice Presidentsince 03/2015 · owns less than 5%
- Autumn Lynn Favero · Assistant Treasurer, Financial Operations Officer And Principal Financial Officersince 03/2024 · owns less than 5%
- Kary Anne Moore · Secretarysince 09/2011 · owns less than 5%
- Richard Anthony Novak · Treasurersince 04/2013 · owns less than 5%
- Brian Sean Ronayne · Executive Vice Presidentsince 03/2021 · owns less than 5%
- Frank Carl Senchak · Directorsince 03/2016 · owns less than 5%
Entity owners
- Fii Holdings, Inc. · Ownerdirect · owns 75% or more
- Federated Hermes, Inc. · Ownerindirect · owns 75% or more of Fii Holdings, Inc. · public reporting company
Related persons
Schedule D 7.A
- Federated Advisory Services Companyinvestment advisern
- Federated Equity Management Company Of Pennsylvaniainvestment adviserbanknRAUM $14B
- Federated Global Investment Management Corp.investment adviserbanknRAUM $14B
- Federated Hermes (Uk) Llpinvestment adviserbanknRAUM $25B
- Federated Hermes Japan Ltd.investment advisern
- Federated International Securities Corp.broker-dealerinvestment advisern
- Federated Investment Counselinginvestment adviserbanknRAUM $207B
- Federated Investment Management Companyinvestment adviserbanknRAUM $590B
- Federated Investors Australia Services Ltdinvestment advisern
- Federated Investors Trust Companybankn
- Mdt Advisers, A Division Of Federated Mdta LLCinvestment adviserbanknRAUM $26B
- Federated Private Fund Of One Trade Finance Partnership General Partner, LLCinvestment advisern
- Hermes Alternative Investment Management Limitedinvestment adviserbankpooled vehicle sponsorn
- Hermes Fund Managers Ireland Limitedinvestment adviserbankpooled vehicle sponsorn
- Hermes Gpe (Singapore) Pte Limitedinvestment advisern
- Hermes Gpe (USA) Incinvestment advisernRAUM $1.7B
- Hermes Gpe Llpinvestment adviserpooled vehicle sponsornRAUM $8.9B
- Hermes Investment Management Limitedinvestment adviserbanknRAUM $25B
Advisers that list Federated Securities Corp. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Pittsburgh, Pa · principal | 209 | 13 | 7 | ||
| New York, Ny | 6 | 0 | 0 | ||
| Wexford, Pa | 6 | 0 | 0 | ||
| Sewickley, Pa | 5 | 0 | 0 | ||
| Bethel Park, Pa | 3 | 1 | 0 | ||
| Gibsonia, Pa | 3 | 1 | 0 | ||
| Canonsburg, Pa | 3 | 0 | 0 | ||
| Venetia, Pa | 3 | 0 | 0 | ||
| Dallas, Tx | 3 | 0 | 0 | ||
| Oakmont, Pa | 2 | 0 | 0 | ||
| San Francisco, Ca | 2 | 0 | 0 | ||
| Boston, Ma | 2 | 1 | 0 | ||
| Cranberry, Pa | 2 | 0 | 0 | ||
| Hingham, Ma | 2 | 0 | 0 | ||
| Houston, Tx | 2 | 0 | 0 | ||
| Mars, Pa | 2 | 0 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 | ||
| Venice, Ca | 2 | 0 | 0 | ||
| Washington, Pa | 2 | 0 | 0 | ||
| West Chester, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 203 to 213Mar 27, 2025 to Mar 27, 2026
- BD registered reps · 214 to 216Mar 27, 2025 to Mar 27, 2026
- Employees · 300 to 311Mar 27, 2025 to Mar 27, 2026
- Insurance-licensed employees · 202 to 212Mar 27, 2025 to Mar 27, 2026
- State-registered IARs · 203 to 213Mar 27, 2025 to Mar 27, 2026
- Other offices · 0 to 3Mar 27, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 202 to 203Mar 27, 2024 to Mar 27, 2025
- BD registered reps · 201 to 214Mar 27, 2024 to Mar 27, 2025
- Employees · 278 to 300Mar 27, 2024 to Mar 27, 2025
- Insurance-licensed employees · 194 to 202Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- State-registered IARs · 195 to 203Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- RAUM · unset to 0.0Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 195 to 202Feb 5, 2024 to Mar 27, 2024
- BD registered reps · 199 to 201Feb 5, 2024 to Mar 27, 2024
- Employees · 275 to 278Feb 5, 2024 to Mar 27, 2024
- Advisory employees · 196 to 195Mar 29, 2022 to Mar 29, 2023
- BD registered reps · 203 to 199Mar 29, 2022 to Mar 29, 2023
- Employees · 280 to 275Mar 29, 2022 to Mar 29, 2023
- Insurance-licensed employees · 195 to 194Mar 29, 2022 to Mar 29, 2023
- State-registered IARs · 196 to 195Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 198 to 196Apr 23, 2021 to Mar 29, 2022
- Employees · 274 to 280Apr 23, 2021 to Mar 29, 2022
- Insurance-licensed employees · 198 to 195Apr 23, 2021 to Mar 29, 2022
- State-registered IARs · 199 to 196Apr 23, 2021 to Mar 29, 2022
- Advisory employees · 193 to 198Jun 10, 2020 to Mar 30, 2021
- BD registered reps · 202 to 203Jun 10, 2020 to Mar 30, 2021
- Employees · 269 to 274Jun 10, 2020 to Mar 30, 2021
- Insurance-licensed employees · 193 to 198Jun 10, 2020 to Mar 30, 2021
- State-registered IARs · 194 to 199Jun 10, 2020 to Mar 30, 2021
- Advisory employees · 207 to 193May 20, 2019 to Mar 30, 2020
- BD registered reps · 213 to 202May 20, 2019 to Mar 30, 2020
- Employees · 281 to 269May 20, 2019 to Mar 30, 2020
- Insurance-licensed employees · 206 to 193May 20, 2019 to Mar 30, 2020
- State-registered IARs · 207 to 194May 20, 2019 to Mar 30, 2020
- Advisory employees · 194 to 207Nov 20, 2018 to Mar 29, 2019
- BD registered reps · 199 to 213Nov 20, 2018 to Mar 29, 2019
Signals
12 dated events
- Drew Haley left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2016-02-12)Aug 25, 2026 · Advisor changed firm · fact
- John Robert Stanley left Federated Securities Corp. for Cohen & Steers Capital Management Inc. (registered 2026-07-08)Jul 17, 2026 · Advisor changed firm · fact
- Robert Lefone James left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2015-01-22)Jun 18, 2026 · Advisor changed firm · fact
- Scott Robert Kelley left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2022-05-17)Jun 1, 2026 · Advisor changed firm · fact
- Nicholas Rubinowicz left Federated Securities Corp. for Federated Investment Counseling (registered 2024-01-03)May 11, 2026 · Advisor changed firm · fact
- Emily Coughlin left Federated Securities Corp. for Federated Investment Counseling (registered 2025-12-10)May 7, 2026 · Advisor changed firm · fact
- Michael E Brown left Federated Securities Corp. for Federated Investment Counseling (registered 2025-11-25)Feb 26, 2026 · Advisor changed firm · fact
- Benjamin Adam Morgret left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2019-09-23)Jan 23, 2026 · Advisor changed firm · fact
- Nicholas Vincent Fiano left Federated Securities Corp. for Federated Investment Counseling (registered 2022-02-03)Jan 7, 2026 · Advisor changed firm · fact
- Matthew Lawrence Ryan left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2010-05-12)Aug 11, 2025 · Advisor changed firm · fact
- Ryan Alexander Fairbrother left Federated Securities Corp. for Federated Global Investment Management Corp. (registered 2021-08-17)Jun 26, 2025 · Advisor changed firm · fact
- Elizabeth Dorothy Kline left Federated Securities Corp. for Mdt Advisers, A Division Of Federated Mdta Llc (registered 2019-12-06)Jul 12, 2024 · Advisor changed firm · 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
- Firm profile
- LINKEDIN.COM/COMPANY/FEDERATED-HERMESreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FEDERATEDHERMES.COM/US/HOME.DOreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (412) 288-1900reportedpublic record, Form ADV, Jun 29, 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
- No RAUM reportedderiveda 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