{"url":"https://nivawealth.com/firms/fox-financial-319679","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/319679","regulatoryAum":271808136,"crd":"319679","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6468230","suffix":null,"lastName":"BAITY","firstName":"STEPHANIE","middleName":"LYNN"},{"crd":"6155574","suffix":null,"lastName":"Drexler","firstName":"Thomas","middleName":"Alan"},{"crd":"4196238","suffix":null,"lastName":"FOX","firstName":"KEVIN","middleName":"MICHAEL"},{"crd":"6540757","suffix":null,"lastName":"MISCHLER","firstName":"ERIC","middleName":"MCFADDEN"},{"crd":"1061375","suffix":null,"lastName":"POWELL","firstName":"JACQUELINE","middleName":"L"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2022-06-16","regulatoryAum":0,"clients":0,"employees":6,"offices":3},{"filedOn":"2023-02-02","regulatoryAum":185067086,"clients":632,"employees":6,"offices":3},{"filedOn":"2024-05-15","regulatoryAum":232327208,"clients":646,"employees":6,"offices":3},{"filedOn":"2025-06-18","regulatoryAum":254749672,"clients":655,"employees":6,"offices":3},{"filedOn":"2026-06-22","regulatoryAum":271808136,"clients":656,"employees":6,"offices":3}],"secFileNumber":"801-125698","legalName":"Fox Financial, Inc.","displayName":"Fox Financial","slug":"fox-financial-319679","website":"https://alliancefinancialofpa.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/alliancefinancialofpa/","xUrl":"http://www.twitter.com/alliancefnlofpa","founded":null,"organization":"Pennsylvania corporation","fiscalYearEnd":"December","headquarters":{"street":"1105 Berkshire BLVD. Ste 120,","city":"Wyomissing","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"19610"},"tradeNames":[],"registration":{"secApproved":"18 May 2022","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":403788.98159509205,"staff":{"employees":6,"advisory":5,"brokerDealerReps":6,"insuranceAgents":5,"promoters":0},"aum":{"regulatory":271808136,"discretionary":271808136,"discretionaryAccounts":1006,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":271808137,"nonUsClientsPct":0,"nonAumClients":10},"clientTypes":[{"label":"Individuals (other than HNW)","clients":528,"regulatoryAum":139274166},{"label":"High-net-worth individuals","clients":124,"regulatoryAum":123996250},{"label":"Pension and profit-sharing plans","clients":2,"regulatoryAum":8242016},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":142508},{"label":"Corporations and other businesses","clients":1,"fewerThan5":true,"regulatoryAum":153196}],"feePrograms":[{"role":"main","program":"Portfolio Management Fees","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021205","versionId":1021205,"ratePeriod":"annual","fee_billing":"advance","submittedOn":"2026-03-18","documentName":"ADV PART 2A-  FOX FINANCIAL, INC.","fee_rate_low":1.2,"fee_rate_high":1.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Negotiated fixed fees of $250 to $10,000 for a plan or for ongoing planning each year, or hourly fees of $150 to $500.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021205","versionId":1021205,"submittedOn":"2026-03-18","documentName":"ADV PART 2A-  FOX FINANCIAL, INC."}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T11:12:09.429485+00:00","documents":[{"name":"ADV PART 2A-  FOX FINANCIAL, INC.","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021205","versionId":1021205,"submittedOn":"2026-03-18"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021206","versionId":1021206,"submittedOn":null}]},"custodians":[{"name":"LPL Financial LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":271412774},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":395362},{"name":"Vanguard Group","shortName":"Vanguard Group","location":"Malvern, PA","smaAssets":15054364}],"custodyNote":"Fox Financial has custody of $31.9M in client assets for 69 clients.","otherCustodians":[],"leadership":[{"name":"Kevin Fox","title":"Managing Partner, Chief Compliance Officer, & President","crd":"4196238"},{"name":"Thomas Drexler","title":"Managing Partner","crd":"6155574"},{"name":"Eric Mischler","title":"Managing Partner","crd":"6540757"}],"ownership":[{"label":"Kevin Fox","detail":"Managing partner, chief compliance officer, & president in the 50% to 75% ownership band and a control person, since June 2020."},{"label":"Thomas Drexler","detail":"Managing partner in the 10% to 25% ownership band and a control person, since June 2020."},{"label":"Eric Mischler","detail":"Managing partner in the 10% to 25% ownership band and a control person, since June 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":3,"addresses":[{"street":"1105 Berkshire BLVD. Ste 120,","city":"Wyomissing","headquarters":true},{"street":"43a Brookwood Ave","city":"Carlisle"},{"street":"940 E Park Drive","city":"Harrisburg"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"610-376-5981","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":96},{"label":"Cash and cash equivalents","percent":3}],"privateFunds":0},"sources":{"adv1FilingDate":"22 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/319679/PDF/319679.pdf","brochureDate":"18 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021205","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Fox Financial have?","answer":"Fox Financial has 656 clients and manages $272 million for them, as of June 2026. They include 528 individual clients, 124 high-net-worth individuals, and 2 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fox Financial offer?","answer":"Fox Financial provides financial planning, portfolio management for individuals and small businesses, pension consulting, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Fox Financial charge?","answer":"Fox Financial charges 1.20%–1.75% a year for its Portfolio Management Fees. The fee is billed in advance and is negotiable.","source":"ADV PART 2A-  FOX FINANCIAL, INC., filed 18 March 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Fox Financial use?","answer":"Fox Financial’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $271M, Vanguard Group (Malvern, PA), with $15.1M and Charles Schwab & Co., Inc. (Westlake, TX), with $395K. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fox Financial have?","answer":"Fox Financial has 6 investment adviser representatives registered with state securities authorities, out of 6 employees, and 5 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Fox Financial invest in?","answer":"At the end of its last fiscal year, Fox Financial’s separately managed accounts held 96% registered funds (mutual funds, ETFs, BDCs), 3% cash and equivalents and 1% exchange-traded equities.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Fox Financial?","answer":"Fox Financial’s direct owners are Kevin Fox (50% to 75%), Thomas Drexler (10% to 25%) and Eric Mischler (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fox Financial get paid?","answer":"Fox Financial is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Fox Financial?","answer":"Fox Financial’s main office is at 1105 Berkshire BLVD. Ste 120,, Wyomissing, PA 19610. Its phone number is 610-376-5981. Its website is alliancefinancialofpa.com.","source":"Form ADV Part 1A, Item 1.F, filed 22 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/fox-financial-319679/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-04","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/2004131/000208585326000928/0002085853-26-000928-index.html","totalValue":143589043,"positionCount":12,"top10Share":0.9968198130549557,"top10":[{"issuer":"WISDOMTREE TR","titleOfClass":"US LARGECAP DIVD","cusip":"97717W307","value":30043297,"shares":311911,"shareType":"SH","priorValue":27998617,"priorShares":313429},{"issuer":"SPDR SERIES TRUST","titleOfClass":"ST STR PR SP1500","cusip":"78464A805","value":27383591,"shares":301615,"shareType":"SH","priorValue":24006430,"priorShares":303648},{"issuer":"ISHARES TR","titleOfClass":"US SML CAP EQT","cusip":"46434V290","value":25069218,"shares":281234,"shareType":"SH","priorValue":21392060,"priorShares":283376},{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":22292006,"shares":30272,"shareType":"SH","priorValue":17843295,"priorShares":30915},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"ST STR TECHN ETF","cusip":"81369Y803","value":18556921,"shares":97401,"shareType":"SH","priorValue":13547336,"priorShares":101936},{"issuer":"ISHARES TR","titleOfClass":"RUS MID CAP ETF","cusip":"464287499","value":17413191,"shares":157843,"shareType":"SH","priorValue":15358674,"priorShares":157962},{"issuer":"INVESCO EXCH TRD SLF IDX FD","titleOfClass":"RUSL 1000 DYNM","cusip":"46138J619","value":902157,"shares":13163,"shareType":"SH","priorValue":824786,"priorShares":13719},{"issuer":"SPDR SERIES TRUST","titleOfClass":"ST STR P500GRW","cusip":"78464A409","value":656289,"shares":5516,"shareType":"SH","priorValue":564159,"priorShares":5762},{"issuer":"WISDOMTREE TR","titleOfClass":"US QTLY DIV GRT","cusip":"97717X669","value":510135,"shares":5335,"shareType":"SH","priorValue":484175,"priorShares":5512},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"S&P SMLCAP QTY","cusip":"46138G300","value":305598,"shares":6320,"shareType":"SH","priorValue":275222,"priorShares":6528}],"positionsListed":12,"positions":[{"issuer":"WISDOMTREE TR","titleOfClass":"US LARGECAP DIVD","cusip":"97717W307","value":30043297,"shares":311911,"shareType":"SH","priorValue":27998617,"priorShares":313429},{"issuer":"SPDR SERIES TRUST","titleOfClass":"ST STR PR SP1500","cusip":"78464A805","value":27383591,"shares":301615,"shareType":"SH","priorValue":24006430,"priorShares":303648},{"issuer":"ISHARES TR","titleOfClass":"US SML CAP EQT","cusip":"46434V290","value":25069218,"shares":281234,"shareType":"SH","priorValue":21392060,"priorShares":283376},{"issuer":"INVESCO QQQ TR","titleOfClass":"UNIT SER 1","cusip":"46090E103","value":22292006,"shares":30272,"shareType":"SH","priorValue":17843295,"priorShares":30915},{"issuer":"SELECT SECTOR SPDR TR","titleOfClass":"ST STR TECHN ETF","cusip":"81369Y803","value":18556921,"shares":97401,"shareType":"SH","priorValue":13547336,"priorShares":101936},{"issuer":"ISHARES TR","titleOfClass":"RUS MID CAP ETF","cusip":"464287499","value":17413191,"shares":157843,"shareType":"SH","priorValue":15358674,"priorShares":157962},{"issuer":"INVESCO EXCH TRD SLF IDX FD","titleOfClass":"RUSL 1000 DYNM","cusip":"46138J619","value":902157,"shares":13163,"shareType":"SH","priorValue":824786,"priorShares":13719},{"issuer":"SPDR SERIES TRUST","titleOfClass":"ST STR P500GRW","cusip":"78464A409","value":656289,"shares":5516,"shareType":"SH","priorValue":564159,"priorShares":5762},{"issuer":"WISDOMTREE TR","titleOfClass":"US QTLY DIV GRT","cusip":"97717X669","value":510135,"shares":5335,"shareType":"SH","priorValue":484175,"priorShares":5512},{"issuer":"INVESCO EXCH TRADED FD TR II","titleOfClass":"S&P SMLCAP QTY","cusip":"46138G300","value":305598,"shares":6320,"shareType":"SH","priorValue":275222,"priorShares":6528},{"issuer":"ISHARES TR","titleOfClass":"CORE S&P MCP ETF","cusip":"464287507","value":249605,"shares":3237,"shareType":"SH","priorValue":234330,"priorShares":3470},{"issuer":"SPDR SERIES TRUST","titleOfClass":"ST STR SP600 SML","cusip":"78468R853","value":207035,"shares":3590,"shareType":"SH"}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}