DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 105662
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 |
|---|---|---|---|---|---|---|
| S•••• D••••• B•• | Personal Financial Specialist | FARGO, ND | 24 | 40 | n/a | yes |
| D••••• L•• W••••• | n/a | HOLLYW•••, FL | 23 | 52 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• M••••••• J•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2026 | Aug 10, 2026 | Aug 10, 2026 |
| C••••••••• I••••••••• I••• | PARENT COMPANY | E | yes | 11/2023 | Aug 10, 2026 | Aug 10, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| O••• N••••••• I••••••••• I•• | n/a | Other adviser | $31B | N | yes | n/a |
| A••••••• D••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Chesterfield | Mo | United States | 11 | yes |
| LEE'S SUMMIT | Mo | United States | 8 | yes |
| C••••••TOWN | Ma | United States | 6 | yes |
| Cincinnati | Oh | United States | 6 | yes |
| Berlin | 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 |
|---|---|---|---|---|---|---|---|---|
| 12 | 8 | 4 | 3.8% | 2 | 4 | 0 | 25 | 50 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.2B | $2.4B | 32.6% | $2.1B | 14.9% | 196 | 3,193 | 126 | 126 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| T•• A•••••••• G•••• | 2 | Jul 28, 2026 | Jul 28, 2026 | VALPARAISO, IN | Team lift out | Ibd to ibd | 1.0% |
| W••• W••••• G••••• L•• | 2 | Aug 20, 2024 | Aug 25, 2024 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| W••••• C••••••• I••• | 3 | May 18, 2026 | Oct 2, 2025 | WAUSAU, WI | Firm absorbed | RIA to ibd | 75.0% |
| H••••• W••••• M••••••••• L•• | 3 | Jul 29, 2019 | Jun 10, 2015 |
| yes |
| T••••• W••••• P••••• | n/a | APPLETON, WI | 23 | 29 | 1 | yes |
| D•••• J••••• R•••••• | n/a | SAN F••••••••, CA | 23 | 33 | n/a | yes |
| J••••• G••••• C••••• | Chartered Financial Consultant | CONSHOHOCKEN, PA | 22 | 37 | n/a | yes |
| D•••••• B•••• D••••• | n/a | MEMPHIS, TN | 22 | 32 | 1 | yes |
| F••• F•••••••• S••••• | Certified Financial Planner | SAN F••••••••, CA | SALINAS, CA | 22 | 33 | n/a | yes |
| D•••• J••••• F•••• | n/a | CEDAR RAPIDS, IA | 22 | 40 | 1 | yes |
| W••••• N••• H••••• | n/a | LEXINGTON, KY | 20 | 45 | n/a | yes |
| R••••• J•••• C••••• | Chartered Financial Consultant | BRANDENTON, FL | 20 | 37 | 1 | yes |
| J••••• M•••• K••••••••• | n/a | Novelty, OH | 20 | 43 | 1 | yes |
| J•••••• C••• L•••• | Chartered Financial Consultant | NASHVILLE, TN | 20 | 40 | n/a | yes |
| P•••••• M•••••• E•••••• | Certified Financial Planner | URBANA, OH | CINCINNATI, OH | 20 | 35 | 1 | yes |
| D•••• E••••• S•••• | n/a | LEXINGTON, KY | CINCINNATI, OH | 20 | 27 | n/a | yes |
| S••••• F•••••••• G••••• | Certified Financial Planner | CINCINNATI, OH | WINSTON-SALEM, NC | 20 | 40 | n/a | yes |
| M•••••• G••••• H••••• | n/a | BRENTW•••, TN | CINCINNATI, OH | 20 | 32 | n/a | yes |
| R••••• G••••• E•••••••• | Certified Financial Planner | CAMP HILL, PA | 20 | 42 | n/a | yes |
| J•••••• P••• B••••• | n/a | MERRIMACK, NH | CINCINNATI, OH | 20 | 27 | 2 | yes |
| M•••••• V•••••• W••• | n/a | ST C••••••, MO | 19 | 35 | 1 | yes |
| D•••• V••••• L•••••••• | n/a | CINCINNATI, OH | S••••FIELD, UT | 19 | 27 | 1 | yes |
| S•••••• C•••• M••• | Certified Financial Planner | CINCINNATI, OH | BOISE, ID | 19 | 47 | n/a | yes |
| D•••• B• S•••••••• | n/a | BERLIN, OH | CINCINNATI, OH | 19 | 38 | 1 | yes |
| K••• D•••• S•••••••• | Certified Financial Planner | BERLIN, OH | Orrville, OH | CINCINNATI, OH | 19 | 30 | n/a | yes |
| S••••• K••••••• R••• | Certified Financial Planner|Chartered Financial Consultant | Blountville, TN | 19 | 41 | 1 | yes |
| A••••• T••••• U•••••• | Chartered Financial Consultant | Shavano Park, TX | CINCINNATI, OH | 19 | 38 | 1 | yes |
| CHAIRMAN, PRESIDENT & CEO |
| Na |
| yes |
| 02/2023 |
| Aug 10, 2026 |
| Aug 10, 2026 |
| 1••••••• C••••• I••• | HOLDER OF CLASS B COMMON STOCK | C | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| 2•••••• O•••••• L•••••• | L•••••• PARTNER | C | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| C••• D•••••••• I••• | L•••••• PARTNER | E | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| C••• F•••• 7•• S•• | L•••••• PARTNER | C | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| C••• G•••••• F•••• 7•• I••• | GENERAL PARTNER | F | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| C••••••••• I•••••••• G• L•• | GENERAL PARTNER | F | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| C••••••••• I•••••••• H•••••••• I••• | Shareholder | E | yes | 04/2022 | Jan 23, 2024 | Mar 28, 2024 |
| C••••••••• I••••••••• L• | L•••••• PARTNER | E | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| M••••••••• J•••• A••• | Director | Na | yes | 09/2022 | Sep 30, 2022 | Mar 28, 2024 |
| O••• H••••••• G• L•• | GENERAL PARTNER | F | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| O••• H••••••• L• | HOLDER OF CLASS B COMMON STOCK | D | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| O•••••• T•••••••• P•••••• P••• B•••• | Owner | E | yes | 04/2022 | May 12, 2022 | Mar 28, 2024 |
| V•••••• A•••••• J••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2013 | Mar 28, 2013 | Mar 28, 2024 |
| C••••••••• I••••••••• I••• | DIRECT OWNER | E | no | 09/2023 | Jan 23, 2024 | Mar 28, 2024 |
| O••• N••••••• I•••••••• A•••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| T•• O••• E••••• S•••• C•••••• | n/a | n/a | n/a | Y | yes | n/a |
| yes |
| CEDAR RAPIDS | Ia | United States | 4 | yes |
| Lexington | Ky | United States | 4 | yes |
| Orrville | Oh | United States | 4 | yes |
| Madison | Wi | United States | 4 | yes |
| GREENW••• VILLAGE | Co | United States | 3 | yes |
| Chicago | IL | United States | 3 | yes |
| Novi | Mi | United States | 3 | yes |
| Bloomington | Mn | United States | 3 | yes |
| ST C•••••• | Mo | United States | 3 | yes |
| Wooster | Oh | United States | 3 | yes |
| FORT C•••••• | Co | United States | 2 | yes |
| Branford | Ct | United States | 2 | yes |
| SUITE 125 | In | United States | 2 | yes |
| Lexington | Ky | United States | 2 | yes |
| Bloomington | Mn | United States | 2 | yes |
| CUYAHOGA FALLS | Oh | United States | 2 | yes |
| Pittsburgh | Pa | United States | 2 | yes |
| Texarkana | TX | United States | 2 | yes |
| Madison | Wi | United States | 2 | yes |
| C••••••TON | Wv | United States | 2 | yes |
| Apr 30, 2026 |
| $3.2B |
| $904M |
| 196 |
| 196 |
| 126 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $2.4B | $737M | 3,193 | 193 | 126 | n/a | n/a |
| 2023 | Mar 28, 2024 | $2.2B | $655M | 206 | 206 | 142 | n/a | n/a |
| 2022 | Mar 29, 2023 | $2.1B | $512M | 256 | 256 | 202 | n/a | n/a |
| 2021 | Mar 31, 2022 | $2.6B | $787M | 309 | 309 | 202 | n/a | n/a |
| 2020 | Mar 25, 2021 | $2.2B | $615M | 298 | 298 | 222 | n/a | n/a |
| 2019 | Mar 17, 2020 | $1.8B | $452M | 348 | 348 | 198 | n/a | n/a |
| 2018 | Mar 27, 2019 | $1.5B | $368M | 374 | 374 | 318 | n/a | n/a |
| 2017 | Mar 28, 2018 | $1.4B | $397M | 374 | 374 | 228 | n/a | n/a |
| 2016 | Mar 30, 2017 | $1.0B | $246M | 352 | 352 | n/a | n/a | n/a |
| 2015 | Mar 23, 2016 | $832M | $154M | 346 | 346 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $880M | $276M | 333 | 333 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $708M | $237M | 305 | 305 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $438M | $180M | 298 | 298 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $308M | $38.5M | n/a | n/a | n/a | n/a | n/a |
| C••••••TOWN, MA |
| Team lift out |
| Ibd to state RIA |
| 1.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 5 | Aug 1, 2024 | Aug 1, 2024 | CHESTERFIELD, MO | Team lift out | Ibd to ibd | 2.5% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Aug 1, 2024 | Aug 1, 2024 | CINCINNATI, OH | Team lift out | Ibd to ibd | 1.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Mar 26, 2024 | Mar 29, 2024 | PORTLAND, OR | Team lift out | Ibd to ibd | 1.0% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Mar 26, 2024 | Mar 27, 2024 | FREELAND, WA | Team lift out | Ibd to ibd | 1.0% |
| L•• F•••••••• L•• | 5 | Nov 27, 2023 | Nov 28, 2023 | WESTLAKE, OH | Team lift out | Ibd to ibd | 2.4% |
| P•••••••• S••••••••• I••• | 2 | Oct 17, 2023 | Oct 18, 2023 | RALEIGH, NC | Team lift out | Ibd to ibd | 0.9% |
| L•• F•••••••• L•• | 2 | Aug 2, 2023 | Aug 2, 2023 | FT C••••••, CO | Team lift out | Ibd to ibd | 0.9% |
| L•• F•••••••• L•• | 2 | Jun 30, 2023 | Jun 30, 2023 | FLOWER MOUND, TX | Team lift out | Ibd to ibd | 0.9% |
| O•••• W•••••• I••• | 5 | May 11, 2023 | May 11, 2023 | CHEBOYGAN, MI | Team lift out | Ibd to ibd | 2.2% |
| O•••• W•••••• I••• | 5 | May 11, 2023 | May 10, 2023 | CINCINNATI, OH | Team lift out | Ibd to ibd | 2.2% |
| O••••••••• S••••••••• I••• | 6 | Mar 1, 2023 | Mar 3, 2023 | WICHITA, KS | Team lift out | Ibd to ibd | 2.5% |
| O••••••••• S••••••••• I••• | 2 | Mar 1, 2023 | Mar 1, 2023 | CINCINNATI, OH | Team lift out | Ibd to ibd | 0.8% |
| U••••• A•••••• G•••• | 6 | Feb 16, 2023 | Mar 8, 2023 | SPRINGFIELD, MO | Team lift out | Ibd to new firm | 2.5% |
| O••••••••• S••••••••• I••• | 2 | Dec 31, 2022 | Jan 18, 2023 | BATON ROUGE, LA | Team lift out | Ibd to ibd | 0.8% |
| J• W• C••• A•••••••• I••• | 2 | Dec 16, 2022 | Jan 5, 2023 | PHOENIX, AZ | Team lift out | Ibd to ibd | 0.8% |
| W••••••• F•••••••• S•••••••• I••• | 2 | Nov 18, 2022 | Nov 17, 2022 | WICHITA, KS | Team lift out | Ibd to ibd | 0.8% |
| F•• A•••••••• I••• | 4 | Jul 13, 2022 | Jan 1, 2025 | FARMINGTON HILL, MI | Team lift out | Ibd to RIA | 1.6% |
| T•• G•••• L•• | 4 | Jun 15, 2022 | Sep 9, 2022 | HOUSTON, TX | Team lift out | Ibd to state RIA | 1.5% |
| BERLIN, OH |
| Team lift out |
| Other |
| 30.0% |
| P•••••••• S••••••••• I••• | 2 | Aug 2, 2018 | Jan 4, 2019 | YAKIMA, WA | Team lift out | Ibd to ibd | 0.2% |
| W•••••• • R••• | 2 | Mar 22, 2018 | Mar 15, 2018 | TOPEKA, KS | Team lift out | Other | 0.2% |
| F•• A•••••••• I••• | 2 | Sep 19, 2017 | Jun 14, 2012 | FARMINGTON HILLS, MI | Team lift out | Other | 33.3% |
| W••••••• F•••••••• S•••••••• I••• | 2 | Feb 8, 2016 | Feb 4, 2016 | COLORADO SPRINGS, CO | Team lift out | Other | 0.3% |