Hapanowicz & Associates Financial Services, Inc.
- Regulatory AUM
- $622M
- Discretionary
- $520M
- Clients
- 652
- Avg AUM / client
- $954K
- Accounts
- 1,016
- Employees
- 13
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jun 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 462 | $140M | 22.6% |
| High net worth individuals | 178 | $378M | 60.7% |
| Pension and profit sharing plans | Fewer than 5 clients | $1.2M | 0.2% |
| Other | 12 | $103M | 16.5% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Nutrition, Inc. 401(k) Plan Nutrition, Inc. | 2024 |
People (6)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Robert Edwin Hapanowicz | President, Chief Compliance Officer | Jan 1989 (38y) | 75% or more | |
| Christina Marie Simmonds | Registered representative | Mar 2016 (10y) | ||
| Robert Charles Hapanowicz | Registered representative | Mar 2019 (7y) | ||
| Dante Francis Sienko | Registered representative | Oct 2024 (2y) | ||
| Eric F Forsythe | Registered representative | Apr 2025 (1y) | ||
| Charles Lee Davis | Registered representative | Jul 2025 (1y) |
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 |
|---|---|---|---|---|
| Nutrition, Inc. 401(k) Plan | Nutrition, Inc. | 3,642 | $20.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/24/2026 | 899 KB | 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
- • Other fees
- • PLANNING FEES BASED ON A PERCENTAGE OF CLIENT'S INCOME
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- LPL Financial $520M (83% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jun 24, 2026.
View current Form ADV (SEC/IAPD) ↗