DFX Intelligence

A•••••••• I••••••••• S••••••• C••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

A•••••••• I••••••••• S••••••• C••

CRD 1037

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:19042fbc-c722-fded-22c2-2199c1b2f927

Data as of Sep 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Dec 16, 2011 to Sep 4, 2026
36 observations

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=12.0
Regulatory AUM: $496M••• Locked
Discretionary RAUM: $12.3M
Private client RAUM: $479Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 10
RAUM per advisor: $49.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• M• F••••••	Certified Financial Planner	Fisherville, KY \| LOUISVILLE, KY	14	28	2	yes
D••• S••••••••• A••••	n/a	HARLAN, KY	12	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••• R•••••• L•••	OWNER, PRINCIPAL, DIRECTOR, VICE-PRESIDENT	B	yes	09/1996	Dec 16, 2011	Oct 1, 2024
H••••••• L•• A•••••	OWNER, PRINCIPAL, DIRECTOR, PRESIDENT	D	yes	09/1998	Dec 16, 2011	Oct 1, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Harlan	Ky	United States	3	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$496M	$641M	-22.6%	$513M	-1.1%	12	13	1	1

Relationships

Registered with (11)

← A•••• C••••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← R•••••• L••• F••Advisorregistration: current employment
Apr 19, 2022 to presentfactForm ADV
← T••••• C•••• W•••••Advisorregistration: current employment
Apr 19, 2022 to presentfactForm ADV
← L•• A••••• H••••••

Dated events

Occurred
Oct 25, 2021
Regulatory AUM changed
A•••••••• I••••••••• S••••••• C•• reported RAUM $561.2M, up 43% from $392.8M (2020-09-28 to 2021-10-25)
Form ADVobserved 7 days ago
$168M
Occurred
Sep 28, 2018
Regulatory AUM changed
A•••••••• I••••••••• S••••••• C•• reported RAUM $327.9M, up 85% from $177.6M (2017-10-27 to 2018-09-28)
Form ADVobserved 7 days ago
$150M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19042fbc-c722-fded-22c2-2199c1b2f927
First observed: Dec 16, 2011
Last observed: Sep 4, 2026 18 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.