{
  "crd_number": 121700,
  "slug": "rodgers-and-associates-lancaster-pa-121700",
  "primary_business_name": "RODGERS & ASSOCIATES",
  "legal_name": "RODGERS & ASSOCIATES, LLC",
  "dbas": [
    "RA FINANCIAL SERVICES"
  ],
  "city": "Lancaster",
  "state": "PA",
  "country": "United States",
  "cbsa_code": "29540",
  "metro": {
    "cbsa_code": "29540",
    "common_name": "Lancaster",
    "msa_name": "Lancaster, PA",
    "path": "/advisors/pa/lancaster"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2003-07-03",
  "years_registered": 23,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 1630281071.0,
  "raum_discretionary": 1630281071.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 21,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 9391188.0,
      "count": 3
    },
    "individuals": {
      "raum": 265827952.0,
      "count": 445
    },
    "high_net_worth_individuals": {
      "raum": 1355061931.0,
      "count": 549
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "AZ",
    "CA",
    "DE",
    "FL",
    "MD",
    "NC",
    "NJ",
    "NY",
    "PA",
    "TX",
    "VA"
  ],
  "websites": [
    "https://facebook.com/Rodgers-Associates-1283505141704613",
    "https://linkedin.com/COMPANY/325970",
    "https://rodgers-associates.com",
    "https://youtube.com/USER/RODGERSASSOCIATES"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121700",
  "city_as_filed": "LANCASTER",
  "url": "https://advisorcensus.com/firm/rodgers-and-associates-lancaster-pa-121700",
  "display_name": "Rodgers & Associates",
  "summary": "Rodgers & Associates is an SEC-registered investment advisory firm in Lancaster, PA, registered since 2003, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.",
  "citation": "AdvisorCensus. Rodgers & Associates (CRD 121700): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses"
  ],
  "quick_answers": [
    {
      "q": "How is Rodgers & Associates compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Rodgers & Associates reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Rodgers & Associates charge?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 states: Up to $500,000: 1.25% a year; $500,001 to $1,000,000: 1% a year; $1,000,001 to $5,000,000: 0.75% a year; Above $5,000,001: 0.5% a year; Hourly rate: $400 an hour (financial planning and consultation services). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Rodgers & Associates located?",
      "a": "Rodgers & Associates' principal office is in Lancaster, PA, according to its Form ADV."
    },
    {
      "q": "Is Rodgers & Associates registered with the SEC or a state?",
      "a": "Rodgers & Associates is an SEC-registered investment advisory firm, registered since 2003. Status as filed: Approved. CRD 121700."
    },
    {
      "q": "How much does Rodgers & Associates manage?",
      "a": "Rodgers & Associates reports $1,630,281,071 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)."
    },
    {
      "q": "How have Rodgers & Associates' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Rodgers & Associates: Regulatory assets under management: $1,172,414,107 in the October 2021 data and $1,630,281,071 in the October 2026 data, up 39%. Total employees: 16 in October 2021 and 21 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Rodgers & Associates serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (549); individuals (other than high net worth individuals) (445); charitable organizations (3)."
    },
    {
      "q": "Which custodians does Rodgers & Associates use?",
      "a": "Rodgers & Associates' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and Fidelity Brokerage Services LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Rodgers & Associates report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/121700"
    },
    {
      "q": "Does Rodgers & Associates state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 30, 2026 says: \"The minimum assets under management for a Client receiving Rodgers’ investment management services is generally $1,000,000. Accounts below this minimum may be negotiable and accepted on an individual basis at the firm’s discretion.\""
    },
    {
      "q": "What changed in Rodgers & Associates' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 11 to 10. Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 1172414107.0,
      "total_employees": 16,
      "filing_date": "2021-03-24"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 1382262598.0,
      "total_employees": 18,
      "filing_date": "2022-03-25"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 1195569019.0,
      "total_employees": 18,
      "filing_date": "2023-08-02"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 1341661104.0,
      "total_employees": 20,
      "filing_date": "2024-07-31"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 1488109570.0,
      "total_employees": 19,
      "filing_date": "2025-03-05"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 1630281071.0,
      "total_employees": 21,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 11 to 10.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 30, 2026",
    "provided_by_the_firm": false,
    "tiers": [
      {
        "band": "Up to $500,000",
        "rate": "1.25%"
      },
      {
        "band": "$500,001 to $1,000,000",
        "rate": "1%"
      },
      {
        "band": "$1,000,001 to $5,000,000",
        "rate": "0.75%"
      },
      {
        "band": "Above $5,000,001",
        "rate": "0.5%"
      }
    ],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$1,000,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $400 an hour (financial planning and consultation services)"
    ],
    "figures": [
      {
        "label": "Fee schedule",
        "statements": [
          "Up to $500,000: 1.25% a year",
          "$500,001 to $1,000,000: 1% a year",
          "$1,000,001 to $5,000,000: 0.75% a year",
          "Above $5,000,001: 0.5% a year"
        ],
        "quotes": [
          "Rodgers’ standard fee schedule is as follows: Market Value of Portfolio Annual Fee From $0 - $500,000 1.25% From $500,001 - $1,000,000 1.00% From $1,000,001 - $5,000,000 .75% The balance over $5,000,001 .50%"
        ]
      },
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $1,000,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "The minimum assets under management for a Client receiving Rodgers’ investment management services is generally $1,000,000. Accounts below this minimum may be negotiable and accepted on an individual basis at the firm’s discretion."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $400 an hour (financial planning and consultation services)"
        ],
        "quotes": [
          "In consideration of financial planning and consultation services provided by Rodgers, the Client will pay Rodgers an hourly fee of $400/hour."
        ]
      }
    ],
    "values": {
      "tiers": [
        {
          "min": 0.0,
          "max": 500000.0,
          "rate_pct": 1.25
        },
        {
          "min": 500001.0,
          "max": 1000000.0,
          "rate_pct": 1.0
        },
        {
          "min": 1000001.0,
          "max": 5000000.0,
          "rate_pct": 0.75
        },
        {
          "min": 5000001.0,
          "max": null,
          "rate_pct": 0.5
        }
      ],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 1000000.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 400.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "financial planning and consultation services"
        }
      ]
    },
    "quotes": [
      "Rodgers’ standard fee schedule is as follows: Market Value of Portfolio Annual Fee From $0 - $500,000 1.25% From $500,001 - $1,000,000 1.00% From $1,000,001 - $5,000,000 .75% The balance over $5,000,001 .50%",
      "The minimum assets under management for a Client receiving Rodgers’ investment management services is generally $1,000,000. Accounts below this minimum may be negotiable and accepted on an individual basis at the firm’s discretion.",
      "In consideration of financial planning and consultation services provided by Rodgers, the Client will pay Rodgers an hourly fee of $400/hour."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/rodgers-and-associates-lancaster-pa-121700.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 445,
      "fewer_than_5": false,
      "raum": 265827952.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 549,
      "fewer_than_5": false,
      "raum": 1355061931.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 3,
      "fewer_than_5": false,
      "raum": 9391188.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/121700",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}