Penn Davis Mcfarland Inc
- Regulatory AUM
- $1.4B
- Discretionary
- $1.4B
- Clients
- 211
- Avg AUM / client
- $6.5M
- Accounts
- 549
- Employees
- 10
AUM over time
Annual snapshots from Form ADV filings · as of Mar 12, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 18 | $4.8M | 0.35% |
| High net worth individuals | 193 | $1.3B | 95.9% |
| Pension and profit sharing plans | Fewer than 5 clients | $20.3M | 1.49% |
| Charitable organizations | Fewer than 5 clients | $30.4M | 2.23% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Locke Lord Llp Retirement Savings Plan Locke Lord Llp | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Van Ogden | President | Jun 1987 (39y) | 50% – 75% | |
| Jeffrey William Helfrich | Senior Vice President | CFA | Aug 2010 (16y) | 25% – 50% |
| Robert Earl Felty | Vice President & Chief Compliance Officer | Mar 2013 (13y) | Less than 5% | |
| Charles Louis Norton | Registered representative | CFA | Nov 2015 (11y) | |
| Hope Wimberly Robinson | Registered representative | CFP | Sep 2022 (4y) | |
| Elizabeth Graham Trecartin | Registered representative | CFP | Jan 2025 (2y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Locke Lord Llp Retirement Savings Plan | Locke Lord Llp | 844 | $892M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/12/2026 | 1.02 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Charles Schwab & Co. $682M (50% of AUM) Mar 2026
- Frost Bank $550M (40% of AUM) Mar 2026
- Bank Of America, National Association $126M (9% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 12, 2026.
View current Form ADV (SEC/IAPD) ↗