DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••• A•••• M••••••••• L••

CRD 156649

CINCINNATI, OH

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Search this name across graphsid dfx:ria:334772c5-46fc-84f4-16fd-985a97da43e4

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:54 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Jan 23, 2015 to Mar 20, 2026
13 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=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0
Regulatory AUM: $341M••• Locked
Discretionary RAUM: $341M
Private client RAUM: $330Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $85.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• L••••••• L••••••	Chartered Financial Analyst	CINCINNATI, OH	15	15	n/a	yes
S••••• R••••••• J•••	n/a	CINCINNATI, OH	15	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• B••••• L•••••••	CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER & CHIEF COMPLIANCE OFFICER	C	yes	01/2011	Jan 23, 2015	Mar 20, 2024
L••••••• C••••• J••••	MANAGING PARTNER	C	yes	01/2020	Feb 6, 2020	Mar 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• W••••• M•••••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$341M	$364M	-6.4%	$284M	6.2%	5	5	0	0

Relationships

Registered with (4)

← C•••• J•••• L••••••Advisorregistration: current employment
Feb 23, 2017 to presentfactForm ADV
← P•••••• C••••••••• L••••••Advisorregistration: current employment
Apr 10, 2012 to presentfactForm ADV
← S••••• R••••••• J•••Advisorregistration: current employment
May 26, 2011 to presentfactForm ADV
← B•••• L••••••• L••••••

Dated events

Occurred
Mar 20, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 6, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 6, 2020
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 6, 2020
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:334772c5-46fc-84f4-16fd-985a97da43e4
First observed: Jan 23, 2015
Last observed: Mar 20, 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.