DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

A••••••• F•••••••• S••••••••• L••

CRD 290343

DAYTON, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:292086a5-3e05-b2fe-b0f5-837c3afa9c50

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Jun 4, 2021 to Mar 31, 2026
10 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: mixed wealth managerderivedprivate_client_share=0.49 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $402M••• Locked
Discretionary RAUM: $402M
Private client RAUM: $195Mderived••• Locked
Private client share: 49%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $80.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• P• A•••••••	Certified Financial Planner\|Chartered Financial Analyst	DAYTON, OH	8	19	3	no
T•••••• R•• B••••	n/a	DAYTON, OH	8	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• S•••• P•	CHIEF COMPLIANCE OFFICER & MANAGING MEMBER	E	yes	10/2017	Jun 4, 2021	Nov 5, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	1	1

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	$402M	$348M	15.5%	$206M	25.1%	7	7	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• • C••••••• I•••	2	Mar 15, 2018	Mar 16, 2018	DAYTON, OH	Team lift out	Other	6.5%

Relationships

Registered with (7)

← N••••• E• L••••••Advisorregistration: current employment
Jun 20, 2024 to presentfactForm ADV
← C••••• L•••Advisorregistration: current employment
Jun 20, 2024 to presentfactForm ADV
← M•••••• J• P•••Advisorregistration: current employment
May 1, 2023 to presentfactForm ADV
← T•••••• R•• B••••Advisor

Dated events

Occurred
Mar 28, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$102M
Occurred
May 28, 2024
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 1, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 4, 2021
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:292086a5-3e05-b2fe-b0f5-837c3afa9c50
First observed: Jun 4, 2021
Last observed: Mar 31, 2026 5 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.