DFX Intelligence

W••••• D••••••••• G••••• L•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

W••••• D••••••••• G••••• L•••

CRD 107618

CINCINNATI, OH

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Search this name across graphs

Data as of Jul 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 14
On other graphs: 0
Observed: Mar 29, 2012 to Jul 30, 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: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $1.1Bderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $137Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• P••• L•••••	Certified Financial Planner	CINCINNATI, OH	23	43	n/a	no
T••••• A••••• C••••	Certified Financial Planner	CINCINNATI, OH	23	40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• T•••••• A•••••	MANAGING MEMBER	C	yes	12/1997	Jul 30, 2026	Jul 30, 2026
F••••••• R•••••• F••••••	PARTNER AND DIRECTOR OF PLANNING	Na	yes	01/2026	Jul 30, 2026	Jul 30, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W••••• D••••••••• F••••• O•••••• I••	n/a	Independent wealth	$626M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	$1.2B	$1.0B	20.5%	$708M	20.4%	21	22	0	0

Relationships

Affiliated with (2)

→ W••••• D••••••••• F••••• O•••••• I••Registered adviserother investment adviser, common control
factForm ADV
← W••••• D••••••••• F••••• O•••••• I••Registered adviserother investment adviser, common control
factForm ADV

Controls (9)

← F••••••• R•••••• F••••••OwnerPARTNER AND DIRECTOR OF PLANNING, ownership code NA, individual
Jul 30, 2026 to presentfactForm ADV
← P••••••• S•••• C•••••••••Owner

Dated events

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

Order

Occurred
30 Jul 2026
Ria principal change3 events
W••••• D••••••••• G••••• L•••: ria principal change, 3 events, on 30 Jul 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
27 Sep 2024
Control person left
••• Locked
Form ADV
Occurred
29 Mar 2024
Control person joined2 events
W••••• D••••••••• G••••• L•••: control person joined, 2 events, on 29 Mar 2024
- ••• Locked
- ••• Locked
Occurred
23 Oct 2023
Control person left
••• Locked
Form ADV
Occurred
29 Sep 2020
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Jul 30, 2026 55 days 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.

All 11 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• K•••••• K•••••	CHIEF COMPLIANCE OFFICER	Na	no	09/2024	Sep 27, 2024	Sep 27, 2024

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 28, 2016	$312M	$311M	8	3	n/a	n/a	n/a
2014	Mar 23, 2015	$540M	$359M	8	4	n/a	n/a	n/a
2013	Mar 27, 2014	$543M	$371M	9	5	n/a	n/a	n/a
2012	Mar 27, 2013	$455M	$315M	8	5	n/a	n/a	n/a
2011	Mar 29, 2012	$358M	$255M	n/a	n/a	n/a	n/a	n/a