DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

H•••• C•••••• A•••••••• L••

CRD 152888

CINCINNATI, OH

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Search this name across graphsid dfx:ria:635d398d-3580-2671-d032-3a4adaad9189

Data as of Mar 30, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 11
On other graphs: 0
Observed: Jan 14, 2013 to Mar 30, 2025
47 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $596M••• Locked
Discretionary RAUM: $554M
Private client RAUM: $551Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• M•••• A••••	VICE PRESIDENT	C	yes	04/2017	Jan 14, 2013	Sep 23, 2024
H••••• T••••••• L••	President	Na	yes	02/2019	Jan 14, 2013	Sep 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•••• S••••••••• I•••	n/a	Former SEC adviser	$698M	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$596M	$534M	11.7%	$413M	13.0%	14	11	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••• W•••••• L••	4	May 12, 2025	May 14, 2025	CINCINNATI, OH	Firm absorbed	RIA to new firm	80.0%

Relationships

Affiliated with (2)

→ H•••• W••••• M•••••••••Registered adviserother investment adviser, broker-dealer
factForm ADV
← H•••• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (7)

← T•••••• L•• H••••Advisorregistration: previous registration
Apr 6, 2010 to Jun 10, 2025factForm ADV
← M••• A•••• B••••••

Dated events

Occurred
Jul 1, 2025
Left the SEC roster
••• Locked
Form ADVobserved 8 days ago
$596M
Occurred
Jun 10, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 14, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 14, 2025
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:635d398d-3580-2671-d032-3a4adaad9189
First observed: Jan 14, 2013
Last observed: Mar 30, 2025 18 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.