Wealth manager, wrap-program sponsor · Wyomissing, PA
Alliance Financial
Fox Financial, Inc. · SEC-registered investment adviser · CRD 319679 · SEC 801-125698
At a glance
Alliance Financial is an SEC-registered investment adviser based in Wyomissing, Pennsylvania, with $272 million in regulatory assets under management as of its Form ADV filed June 22, 2026. Its largest client group by assets is individuals, and it reports 652 individual clients. By Form ADV it is a wealth manager (wrap-program sponsor), ranked 4,722nd of 8,915 wealth managers and 10,677th of 17,210 SEC-registered advisers by assets.
Main office 610-376-5981alliancefinancialofpa.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $272M
- Rank among wealth managers
- #4,722 of 8,915
- Rank among all SEC RIAs
- #10,677 of 17,210
- Rank in Pennsylvania
- #386 of 564
- Individual clients
- 652
- High-net-worth clients
- 124
- Accounts
- 1,006
- Discretionary
- 100% of AUM
- Employees
- 6
- Advisory staff
- 5
- Offices
- 3
Owners and executives on its Form ADV
- Kevin M. FoxManaging Partner, Chief Compliance Officer, & President
- Thomas A. DrexlerManaging Partner
- Eric M. MischlerManaging Partner
Custody and brokerage
Broker-dealer
Hybrid RIA
Alliance Financial is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.
Broker/Dealer or Broker/Dealer Representative As registered representatives of LPL Financial, Kevin Michael Fox, Thomas Alan Drexler, Eric McFadden Mischler , Stephanie Lynn Baity and Jacqueline Learned Powell accept compensation for the s
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 528 | $139M | 51% |
| High-net-worth individuals | 124 | $124M | 46% |
| Pension and profit sharing plans | 2 | $8M | 3% |
| Corporations or other businesses | 1 | $0M | <1% |
| Charitable organizations | 1 | $0M | <1% |
Disciplinary disclosures
Alliance Financial reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Pension consulting
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗alliancefinancialofpa.com ↗
AtlasMembers
The full record on Alliance Financial
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 6,465 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Alliance Financial manage?
Alliance Financial reports $272 million in regulatory assets under management across 1,006 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 22, 2026.
What kind of firm is Alliance Financial?
Alliance Financial is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Alliance Financial’s clients?
By assets, its largest client types are individuals ($139 million, 528 clients); high-net-worth individuals ($124 million, 124 clients); pension and profit sharing plans ($8 million, 2 clients).
Does Alliance Financial have any disciplinary history?
Alliance Financial reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Alliance Financial’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-22), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →