DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

N••••••••• F••• A•••••••

CRD 109391

COLUMBUS, OH

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Search this name across graphsid dfx:ria:3eb81a11-2fdf-c197-5324-bb301865952c

Data as of Feb 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 12
On other graphs: 0
Observed: Feb 8, 2012 to Feb 12, 2026
44 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=66.0
Regulatory AUM: $83B••• Locked
Discretionary RAUM: $83B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 129

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• L•••••• T•••••	SENIOR VICE PRESIDENT	Na	yes	01/2008	Feb 8, 2012	Aug 23, 2024
G•••••• C••••••••• C•••••••	CHIEF INVESTMENT OFFICER	Na	yes	08/2016	Dec 12, 2016	Aug 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••••• I••••••••• A•••••••• L••	n/a	Bd affiliated wealth	$17B	N	yes	n/a
N••••••••• A•••• M••••••••• L••	n/a	Other adviser	$15B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$83B	$78B	6.9%	$72B	4.9%	129	133	0	0

Relationships

Affiliated with (6)

← N••••••••• S••••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← N••••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← N••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N••••••••• S••••••••• L••Registered adviser

Dated events

Occurred
Feb 15, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 15, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 30, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 30, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3eb81a11-2fdf-c197-5324-bb301865952c
First observed: Feb 8, 2012
Last observed: Feb 12, 2026 7 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.