DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

W••••• S••••• I••••••••• A••••••• L••

CRD 309300

CINCINNATI, OH

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Search this name across graphsid dfx:ria:8969023f-686f-a0c5-f107-2a57e9e2b825

Data as of May 15, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 1
On other graphs: 0
Observed: May 15, 2020 to May 15, 2020
2 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 16
Advisory employees: 7
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••••••• F•••• T•••••	Shareholder	E	yes	12/2004	May 15, 2020	May 15, 2020
R•••• S•••••••• • A••••••••• L••	Member	E	yes	04/2020	May 15, 2020	May 15, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••• S•••••••• • A••••••••• L••	n/a	Former SEC adviser	$354M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dayton	Oh	United States	1	yes

Relationships

Affiliated with (1)

→ R•••• S•••••••• • A••••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (4)

← S••••••••• M•••••OwnerSHAREHOLDER, PRESIDENT/CEO, ownership code D, individual
May 15, 2020 to presentfactForm ADV
← T•••• L••••• N•••••OwnerSHAREHOLDER, ownership code E, individual
May 15, 2020 to presentfactForm ADV
← R•••• S•••••••• • A••••••••• L••OwnerMEMBER, ownership code E, domestic entity

Dated events

Occurred
May 15, 2020
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8969023f-686f-a0c5-f107-2a57e9e2b825
First observed: May 15, 2020
Last observed: May 15, 2020 77 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.