Wade Hoffman has been Founder, Chief Compliance Officer of Avantra Family Wealth since July 2017, is a control person of the firm and directly owns between 5% and 10% of it. Wade Hoffman studied at Shippensburg University.
Avantra Family Wealth, Inc. is a Mechanicsburg, PA firm with $222M under management, 223 clients and 3 advisers in one office, as of its June 2026 filing.
Wade A. Hoffman is Founder & Chief Compliance Officer of Avantra Family Wealth. As a Partner of Avantra, he serves as Chief Compliance Officer, responsible for overseeing compliance and sales practices and performing operational function reviews. He joined Avantra from Merrill Lynch, where he administered regulatory supervision, complaint reviews and resolutions, client risk review, and branch audit preparations. Previously he worked at Morgan Stanley Smith Barney as a complex risk officer, and at Smith Barney as an operations manager for Citigroup Global Markets.
Wade Hoffman’s longest registration is the current one, 9 years at Avantra Family Wealth since 2017. Before joining Avantra Family Wealth in 2017, Wade Hoffman was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated and Morgan Stanley Smith Barney LLC.
- Avantra Family Wealth, Inc.Current– present · 9 yearsMechanicsburg, PA · Adviser representative · Firm CRD 288209
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 4 yearsOklahoma City, OK · Adviser representative · Firm CRD 7691
- Morgan Stanley Smith Barney LLC– · under a yearLancaster, PA · Adviser representative · Firm CRD 149777
Investment adviser representative registrations
Wade Hoffman is registered as an investment adviser representative in Pennsylvania, since July 2017.
- PennsylvaniaSince 28 July 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 10 | General Securities Sales Supervisor - General Module Examination | 6 December 2022 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 6 December 2022 |
| Series 7TO | General Securities Representative Examination | 6 December 2022 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 3 | National Commodity Futures Examination | 19 July 2010 |
| Series 65 | Uniform Investment Adviser Law Examination | 27 October 2004 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 March 2000 |
| Series 7 | General Securities Representative Examination | 19 October 1999 |
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Wade Aaron Hoffman
- CRD
- 2825341
- Firm
- Avantra Family Wealth · CRD 288209
- Role
- Founder, Chief Compliance Officer
- Office
- 100 STERLING PARKWAY, SUITE 107, Mechanicsburg, PA 17050
- Registration
- Investment adviser registration
- In the industry since
- June 2001
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- avantrafamilywealth.com
Where does Wade Hoffman work?
Wade Hoffman has been Founder, Chief Compliance Officer of Avantra Family Wealth, Inc. since July 2017, and is a control person of the firm.
Is Wade Hoffman a financial advisor?
Yes. Wade Hoffman has a current investment-adviser registration in Pennsylvania, through Avantra Family Wealth since July 2017.
How many years of experience does Wade Hoffman have?
Wade Hoffman has 25 years in the financial industry, since June 2001, across 3 adviser firms.
What exams has Wade Hoffman passed?
Wade Hoffman has passed 7 licensing exams: the Series 7, Series 63, Series 65, Series 3, Series 10, Series 9 and Series 7TO. The earliest, the Series 7, was passed in October 1999. FINRA credited Wade Hoffman with the SIE, which began in October 2018.
Where did Wade Hoffman work before Avantra Family Wealth?
Before Avantra Family Wealth, Wade Hoffman was registered through Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 2011 to January 2016; Morgan Stanley Smith Barney LLC, August 2010 to March 2011.
Where is Wade Hoffman based?
Wade Hoffman’s registered office is in Mechanicsburg, PA.
Is Wade Hoffman registered with FINRA?
No. Wade Hoffman has no current broker registration.
How can I verify Wade Hoffman’s record?
Search CRD 2825341 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Wade Hoffman’s full registration record.
