DFX Intelligence
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Reading the graph
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CRD 299959
CINCINNATI, OH
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| M••••• S••••• A••••• | n/a | Cincinnati, OH | 4 | 38 | 1 | no |
| J•••••• E•••••••• S••••• | n/a | Apex, NC | 4 | 26 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••• M•••• J••• | Individual | D | yes | 12/1995 | Jul 11, 2019 | Nov 1, 2024 |
| H•••••• M•••• J••• | Chairman | Na | yes | 07/2018 | Jul 11, 2019 | Nov 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H••••• C•••••• M••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H•••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| H•• C•••••• M••••••••• I•• L•• | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| 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 | 2 | 2 |
| 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 | $1.2B | 3.8% | $848M | 12.8% | 5 | 6 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| H••••• R••••••••• S••••••••• L•• | 2 | Jun 15, 2022 | Feb 2, 2022 | CINCINNATI, OH | Team lift out | Other | 50.0% |
| no |
| J•••• T••••• B•••••• | n/a | CINCINNATI, OH | Denver, CO | 2 | 12 | 1 | no |
| T••• J•••• | n/a | CINCINNATI, OH | Chicago, IL | 1 | 19 | 2 | no |
| MANAGING DIRECTOR |
| Na |
| yes |
| 11/2024 |
| Nov 1, 2024 |
| Nov 1, 2024 |
| H•••••• I••• | Member | E | no | 07/2018 | Dec 12, 2019 | Nov 1, 2024 |
| M••• H•••••• T•••••• O• T•• A••••• E••• H••••• I••••••••• T•••• | Trust | F | no | 12/2012 | Jul 30, 2019 | Nov 1, 2024 |
| M••• H•••••• T•••••• O• T•• K••••••• G•••• H••••• I••••••••• T•••• | Trust | F | no | 12/2012 | Jul 30, 2019 | Nov 1, 2024 |
| M••• H•••••• T•••••• O• T•• M•••••• J••• H••••• I••••••••• T•••• | Trust | F | no | 12/2012 | Jul 30, 2019 | Nov 1, 2024 |
| M••• H•••••• T•••••• O• T•• N••••• W•••• H••••• I••••••••• T•••• | Trust | F | no | 12/2012 | Jul 30, 2019 | Nov 1, 2024 |
| W••••••• A•••••• S• | CHIEF COMPLIANCE OFFICER | Na | no | 12/2020 | Mar 31, 2021 | Nov 1, 2024 |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| H•• I••••••••• 3••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H•• I••••••••• I••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H•• I••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $1.2B |
| $0 |
| 5 |
| 5 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 19, 2025 | $1.2B | $0 | 6 | 6 | 0 | n/a | n/a |
| 2023 | Feb 29, 2024 | $966M | $0 | 7 | 6 | 0 | n/a | n/a |
| 2022 | Mar 6, 2023 | $848M | $0 | 7 | 6 | 0 | n/a | n/a |
| 2021 | Mar 28, 2022 | $806M | $0 | 5 | 4 | 0 | n/a | n/a |
| 2020 | Mar 31, 2021 | $500M | $0 | 5 | 4 | 0 | n/a | n/a |
| 2019 | Mar 30, 2020 | $196M | $0 | 5 | 3 | 0 | n/a | n/a |