DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

N••••••••• S••••••••• L••

CRD 11173

COLUMBUS, 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:415bb1f2-9c41-65f5-d2a6-1b47d4512551

Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 393
Dated events: 31
On other graphs: 0
Observed: Mar 30, 2012 to Jul 16, 2026
59 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=26.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 20
Employees: 26
Advisory employees: 7
Offices: 7Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• C•••••••• G••••••	n/a	COLUMBUS, OH	14	14	n/a	yes
S••••• S••••• M••••••••	n/a	COLUMBUS, OH	10	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• J••••• N•••••••	President	Na	yes	09/2021	Jan 26, 2022	Dec 20, 2024
N••••••••• C•••••••••	Shareholder	E	yes	10/2002	Mar 30, 2012	Dec 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••••••• F••• A•••••••	n/a	Asset manager	$83B	N	yes	n/a
N••••••••• I••••••••• A•••••••• L••	n/a	Bd affiliated wealth	$17B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
DES MOINES	Ia	United States	1	yes
n/a	n/a	n/a	1	yes
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 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
4	7	-3	35.0%	0	0	0	13	11

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	$0	$0	n/a	n/a	n/a	26	24	7	11

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• I••••••••• A•••••••• L••	3	Mar 30, 2026	Apr 1, 2026	COLUMBUS, OH	Team lift out	Other	12.5%
N••••••••• I••••••••• A•••••••• L••	2	Mar 5, 2021	Mar 5, 2021

Relationships

showing 80 of 393

Affiliated with (6)

→ N••••••••• F••• A•••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ N••••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N••••••••• A•••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← N••••••••• I••••••••• A•••••••• L••

Dated events

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

Occurred
May 14, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 13, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 13, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:415bb1f2-9c41-65f5-d2a6-1b47d4512551
First observed: Mar 30, 2012
Last observed: Jul 16, 2026 2 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.