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CRD 119880
CINCINNATI, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D••• K••• H••••• | n/a | CINCINNATI, OH | 20 | 43 | n/a | no |
| G••••• L•• J••••• | n/a | Apex, NC | CINCINNATI, OH | 18 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••• K••••• C•••• | CHIEF OPERATING OFFICER | Na | yes | 09/2019 | Nov 20, 2019 | Nov 1, 2024 |
| H••••••• R•••••• L•• | CHIEF COMPLIANCE OFFICER | Na | yes | 12/2023 | Jan 22, 2024 | Nov 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T••••••• F••• A•••••••• L•• | n/a | Asset manager | $170M | N | yes | n/a |
| H••••• F•••••••• S••••••••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| TRAIL CREEK | In | United States | 2 | no |
| Valparaiso | In | United States | 1 | no |
| Greensboro | Nc | United States | 1 | no |
| WEST DEPTFORD | Nj | United States | 1 | no |
| Springfield | Oh | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 4 | 4 | 0 | 14.3% | 1 | 2 | 0 | 13 | 12 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $314M | $278M | 13.1% | $227M | 11.5% | 43 | 41 | 20 | 22 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| A• W••••• M••••••••• L•• | 2 | Jul 11, 2023 | Jul 11, 2023 | ROCKY RIVER, OH | Team lift out | RIA to ibd | 7.7% |
| C••••••••• W•••••• L•• | 2 | Nov 4, 2021 | Nov 1, 2021 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T•••••• W••••• A•••••••• I••• | 2 | Sep 2, 2016 | Sep 6, 2016 | ACWORTH, GA | Team lift out | Other | 11.8% |
| no |
| M•••••• J••• L••••••••• | n/a | ELKRIDGE, MD | CINCINNATI, OH | 14 | 28 | 1 | no |
| D••••• T••••• D•••••••• | Chartered Financial Consultant | SPRINGFIELD, PA | CINCINNATI, OH | 12 | 40 | 1 | no |
| S•••••• D•••• D••••••• | n/a | CINCINNATI, OH | TRAIL CREEK, IN | 12 | 29 | 5 | no |
| H•••••• L•••• P••••• | Chartered Financial Consultant | CINCINNATI, OH | Virginia Beach, VA | 9 | 43 | 2 | no |
| J•••• L••• A••••• | n/a | Covington, IN | CINCINNATI, OH | 8 | 40 | n/a | no |
| B•••• D••••• B••••• | n/a | CINCINNATI, OH | Owatonna, MN | 8 | 23 | n/a | no |
| L••••••• C••••••• T•••••• | n/a | CINCINNATI, OH | Solon, OH | 8 | 27 | 1 | no |
| B•••• A•••• M••••••• | n/a | CINCINNATI, OH | Indianaplois, IN | 6 | 10 | n/a | no |
| D•••• M•••• M•••• | n/a | Bloomville, NY | CINCINNATI, OH | 5 | 29 | n/a | no |
| M••• E••••• K•••• | n/a | Hudson, WI | CINCINNATI, OH | 4 | 13 | 1 | no |
| G•••••• H••••• L•••• | n/a | Atlantic Beach, FL | CINCINNATI, OH | 4 | 12 | n/a | no |
| D•••• O••••• | Chartered Financial Consultant | CINCINNATI, OH | Purcellville, VA | 3 | 21 | 1 | no |
| K••••••• S••• A• M••• C••••••• | n/a | Seattle, WA | CINCINNATI, OH | 2 | 21 | 2 | no |
| H••••• K• H••••• | n/a | CINCINNATI, OH | 2 | 15 | n/a | no |
| A•••••• W•••••• F•••••• | n/a | CINCINNATI, OH | 2 | 11 | 1 | no |
| K•••• A••••• M••••• | n/a | Worthington, OH | CINCINNATI, OH | 2 | 12 | 1 | no |
| S••• P•••••• M••••••••• | n/a | CINCINNATI, OH | 1 | 13 | 1 | no |
| P•••• J••••• V••••••• | n/a | CINCINNATI, OH | Las Vegas, NV | 1 | 23 | n/a | no |
| T•••• J••• K••••• | n/a | CINCINNATI, OH | 1 | 10 | 1 | no |
| B••••• C•••••••• P••••• | n/a | CINCINNATI, OH | Covington, IN | 1 | 11 | n/a | no |
| M••••••• S•••• C•••• | n/a | CINCINNATI, OH | 1 | 11 | 2 | no |
| R••••• M•••• | n/a | Yorba Linda, CA | CINCINNATI, OH | Kingman, AZ | 0 | 20 | n/a | no |
| N••••• D•••• E••••••• | n/a | Saint Charles, MO | CINCINNATI, OH | 0 | 33 | 4 | no |
| Ceo |
| E |
| yes |
| 05/1991 |
| Feb 3, 2012 |
| Nov 1, 2024 |
| S••••••• K••••• A••••• | President | Na | yes | 10/2023 | Mar 26, 2024 | Nov 1, 2024 |
| no |
| Springfield | Pa | United States | 1 | no |
| Bristol | Ri | United States | 1 | no |
| VIRGINIA BEACH | Va | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Apr 8, 2026 |
| $314M |
| $314M |
| 43 |
| 29 |
| 22 |
| n/a |
| n/a |
| 2024 | Feb 21, 2025 | $278M | $278M | 41 | 33 | 22 | n/a | n/a |
| 2023 | Mar 26, 2024 | $214M | $211M | 44 | 32 | 25 | n/a | n/a |
| 2022 | Aug 2, 2023 | $227M | $224M | 56 | 34 | 51 | n/a | n/a |
| 2021 | Mar 30, 2022 | $385M | $381M | 66 | 46 | 51 | n/a | n/a |
| 2020 | Mar 31, 2021 | $380M | $352M | 84 | 64 | 62 | n/a | n/a |
| 2019 | Jun 2, 2020 | $546M | $531M | 108 | 88 | 93 | n/a | n/a |
| 2018 | Mar 31, 2019 | $902M | $832M | 174 | 154 | 215 | n/a | n/a |
| 2017 | Apr 30, 2018 | $1.3B | $1.3B | 244 | 222 | 215 | n/a | n/a |
| 2016 | Mar 31, 2017 | $1.1B | $1.1B | 239 | 239 | n/a | n/a | n/a |
| 2015 | Mar 31, 2016 | $1.0B | $991M | 239 | 220 | n/a | n/a | n/a |
| 2014 | Mar 25, 2015 | $1.1B | $1.1B | 239 | 220 | n/a | n/a | n/a |
| 2013 | Mar 31, 2014 | $668M | $662M | 20 | 2 | n/a | n/a | n/a |
| 2012 | May 1, 2013 | $409M | $407M | 6 | 2 | n/a | n/a | n/a |
| 2011 | Feb 3, 2012 | $144M | $143M | n/a | n/a | n/a | n/a | n/a |
| OVERLAND PARK, KS |
| Team lift out |
| RIA to RIA |
| 5.4% |
| T••••••••• C••••••• L•• | 4 | May 26, 2020 | Apr 17, 2020 | CEDAR PARK, TX | Team lift out | RIA to RIA | 9.3% |
| A•• F•••••••• S•••••••• L•• | 2 | Dec 13, 2019 | Feb 18, 2020 | CINCINNATI, OH | Team lift out | RIA to RIA | 3.6% |
| B••••••••• W••••• A•••••••• L•• | 2 | Aug 21, 2019 | Aug 26, 2019 | CINCINNATI, OH | Team lift out | RIA to RIA | 3.0% |
| A•• F•••••••• S•••••••• L•• | 3 | Aug 13, 2019 | Aug 9, 2019 | WESTMINSTER, CO | Team lift out | RIA to RIA | 4.2% |
| V••••• C•••••• M••••••••• L•• | 8 | Jul 19, 2019 | Jan 1, 2025 | CINCINNATI, OH | Team lift out | RIA to RIA | 10.3% |
| V••••• C•••••• M••••••••• L•• | 3 | May 6, 2019 | May 21, 2019 | CINCINNATI, OH | Team lift out | RIA to RIA | 3.3% |
| P•••••••• M•••••• L•• | 2 | Jan 30, 2019 | Jan 1, 2026 | CINCINNATI, OH | Team lift out | RIA to RIA | 2.0% |
| V••••• C•••••• M••••••••• L•• | 2 | Jan 22, 2019 | Jan 23, 2019 | CINCINNATI, OH | Team lift out | RIA to RIA | 2.0% |
| V••••• C•••••• M••••••••• L•• | 6 | Sep 17, 2018 | Oct 19, 2018 | CINCINNATI, OH | Team lift out | RIA to RIA | 5.3% |
| V••••• C•••••• M••••••••• L•• | 3 | Aug 22, 2018 | Sep 6, 2018 | CINCINNATI, OH | Team lift out | RIA to RIA | 2.5% |
| T••• F•••••••• | 2 | Jul 25, 2018 | Aug 3, 2018 | CINCINNATI, OH | Team lift out | RIA to RIA | 1.6% |
| V••••• C•••••• M••••••••• L•• | 2 | Apr 19, 2018 | May 19, 2018 | ABERDEEN, NC | Team lift out | RIA to RIA | 1.5% |
| V••••• C•••••• M••••••••• L•• | 2 | Apr 19, 2018 | May 2, 2018 | CINCINNATI, OH | Team lift out | RIA to RIA | 1.5% |
| P••••••• W••••• A••••••• L•• | 2 | Feb 15, 2018 | Feb 9, 2018 | CINCINNATI, OH | Team lift out | Other | 1.5% |
| V••• E••••• M••••••••• L•• | 2 | Jun 16, 2015 | May 6, 2015 | GAINESVILLE, GA | Team lift out | Other | 1.7% |
| V••• E••••• M••••••••• L•• | 2 | Jun 16, 2015 | May 6, 2015 | CINCINNATI, OH | Team lift out | Other | 1.7% |
| V••• E••••• M••••••••• L•• | 2 | Apr 23, 2015 | Apr 30, 2015 | CHARLESTON, SC | Team lift out | Other | 1.8% |
| V••• E••••• M••••••••• L•• | 2 | Apr 6, 2015 | Apr 29, 2015 | SNELLVILLE, GA | Team lift out | Other | 1.7% |