DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

V•••••• F•••••••• P•••••••• L••

CRD 315828

ELM GROVE, WI

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:30135eed-b89e-5a92-f92c-2f450db6917a

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 25
On other graphs: 1
Observed: Jul 14, 2021 to Mar 26, 2026
20 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Independent Sponsorsidentity

V•••••• F•••••••• P•••••••• L••

Capital provider to sponsors · shared crd

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: $1.0B••• Locked
Discretionary RAUM: $1.0B
Private client RAUM: $991Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••• A•••••• A••••	MANAGING MEMBER	B	yes	08/2021	Aug 18, 2021	Jul 12, 2024
N••••••••• J••••• A••••	MANAGING MEMBER	C	yes	08/2021	Aug 18, 2021	Jul 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• S••••	n/a	n/a	n/a	N	yes	n/a
G•• G•••••••••	n/a	n/a	n/a	N	yes	n/a
J••••• H•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Huron	Sd	United States	6	no
Montgomery	Oh	United States	5	no
Columbus	Oh	United States	4	no
Youngstown	Oh	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 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	12	-12	n/a	0	0	0	3	13

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	$1.0B	$811M	26.2%	$431M	33.4%	26	26	5	5

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N•••••••• P•••••••• L••	2	Apr 29, 2026	May 29, 2026	COLUMBUS, OH	Team lift out	RIA to RIA	22.2%
N•••••••• P•••••••• L••	6	Apr 29, 2026	Apr 3, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• F•••••••• S•••••••• L••	2	Oct 31, 2023	Jan 2, 2024	YOUNGSTOWN, OH	Team lift out	Ibd to RIA	0.0%
T••••••• A•••••• N••••••• L••	3	Aug 19, 2021	Sep 9, 2021

Relationships

Registered with (14)

← J•••• A•••• N•••••••••Advisorregistration: previous registration
Aug 18, 2021 to Jun 8, 2026factForm ADV
← K••••••••• G••••• G•••••••••Advisorregistration: previous registration
Mar 6, 2023 to Apr 29, 2026factForm ADV
← J••••• J•••• G••••••Advisorregistration: previous registration
Mar 6, 2026 to Apr 29, 2026factForm ADV
← C••••••••• K•••••• J••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 8, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 29, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
4 advisors
Occurred
Apr 29, 2026
Team lift-out
••• Locked
Form ADVobserved 7 days ago
4 advisors
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30135eed-b89e-5a92-f92c-2f450db6917a
First observed: Jul 14, 2021
Last observed: Mar 26, 2026 6 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.