DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

A••••••• M•••• M••••••••• C••••••••• •••••••

CRD 161853

CINCINNATI, OH

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Search this name across graphsid dfx:ria:7374e456-0702-88e3-42b7-689f3a146328

Data as of Mar 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 46
Dated events: 31
On other graphs: 1
Observed: Mar 6, 2012 to Mar 4, 2026
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

A••••••• M•••• M••••••••• C••••••••• •••••••

Credit provider · key crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.19 institutional_share=0.81 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $21B••• Locked
Discretionary RAUM: $21B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• C•• 3•• L••••••	Securitized Asset Fund	$490M	Mar 4, 2026	14	Mar 4, 2026	reported	n/a
A••• C•• 1•• L••••••	Securitized Asset Fund	$434M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• F•••••••• G••••• I•••	SOLE SHAREHOLDER	E	yes	03/1973	Mar 6, 2012	Mar 23, 2024
B••••••• J•••• B••••••	President	Na	yes	01/2011	Mar 6, 2012	Mar 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• F•••••••• G••••• I•••	n/a	n/a	n/a	Y	no	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	$21B	$20B	6.1%	$20B	2.2%	25	25	0	0

Relationships

Advises (32)

→ A••• C•• 3•• L••••••Private fundSecuritized Asset Fund, IA
Mar 23, 2024 to presentfactForm ADV
→ A••• C•• 2•• L••••••Private fundSecuritized Asset Fund, IA
Mar 27, 2021 to presentfactForm ADV
→ A••• C•• 3•• L••••••Private fundSecuritized Asset Fund, IA
Mar 4, 2026 to presentfactForm ADV
→ A••• C•• 2•• L••••••Private fund

Dated events

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

Occurred
Mar 4, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 4, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 4, 2026
Private fund first reported
••• Locked
Form ADVobserved today
$405M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7374e456-0702-88e3-42b7-689f3a146328
First observed: Mar 6, 2012
Last observed: Mar 4, 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.

Controls (14)

← H••••• W••••••• P••••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← W••••• M•••• A•••••OwnerVICE PRESIDENT, ASSISTANT SECRETARY, ownership code NA, individual
Mar 15, 2013 to Mar 23, 2024factForm ADV
← D••••••• D••••• J••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 28, 2022 to Mar 23, 2024factForm ADV
← B••••• P••••••• J•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 28, 2022 to Mar 23, 2024factForm ADV
← H••••••••• J•••••• A•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 28, 2022 to Mar 23, 2024factForm ADV
← B••••••• J•••• B••••••OwnerPRESIDENT, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← E••• C••••••• M•••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← M••••• J••••• J••••OwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← M••••• D••••• P•••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← G••••• K•••• J•••••OwnerSECRETARY, ownership code NA, individual
Mar 6, 2012 to Mar 23, 2024factForm ADV
← K•••••• T•••••• J•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 15, 2013 to Mar 23, 2024factForm ADV
← F•••••••• J•••• S••••OwnerSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2017 to Mar 23, 2024factForm ADV
← G•••••••• J••••••• D•OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 28, 2022 to Mar 23, 2024factForm ADV
← A••••••• F•••••••• G••••• I•••OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Mar 6, 2012 to Mar 23, 2024factForm ADV