DFX Intelligence

F•••••••• M••••••••• G•••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

F•••••••• M••••••••• G•••• I••

CRD 106068

CINCINNATI, OH

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Search this name across graphsid dfx:ria:27a1b7e1-1365-da7c-f8b7-05f9836a9f7a

Data as of Apr 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 0
Observed: Mar 22, 2012 to Apr 30, 2015
11 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $355M••• Locked
Discretionary RAUM: $292M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••••• R•••••• N•••••	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & SR. ADVISOR	Na	yes	06/1994	Mar 22, 2012	Apr 30, 2015
W•••••• B••••• P•••••	PRESIDENT & CEO	E	yes	05/1989	Mar 22, 2012	Apr 30, 2015

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 28, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$355M	$313M	13.7%	$189M	23.4%	11	9	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T•••• W••••• P•••••••• L••	3	Oct 23, 2015	Jul 22, 2015	CINCINNATI, OH	Firm absorbed	Other	75.0%

Relationships

Controls (3)

← W•••••• B••••• P•••••OwnerPRESIDENT & CEO, ownership code E, individual
Mar 22, 2012 to presentfactForm ADV
← W•••••• D••••• D•••OwnerCHIEF INVESTMENT OFFICE & SR. ADVISOR, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV
← S•••••••• R•••••• N•••••OwnerCHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER & SR. ADVISOR, ownership code NA, individual
Mar 22, 2012 to presentfactForm ADV

Owns (1)

← L••••••• R•••••• J•••••OwnerDIRECTOR OF FINANCIAL P•••••••, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27a1b7e1-1365-da7c-f8b7-05f9836a9f7a
First observed: Mar 22, 2012
Last observed: Apr 30, 2015 138 months 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.