DFX Intelligence

V••• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

V••• I••••••••• M••••••••• L••

CRD 306678

NEW ALBANY, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a6dfff0-30d3-273b-1290-a5a842bf479b

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 13
On other graphs: 0
Observed: Jun 8, 2020 to Mar 26, 2026
46 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: mixed wealth managerderivedprivate_client_share=0.24 fund_share=0.68 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $563M••• Locked
Discretionary RAUM: $563M
Private client RAUM: $136Mderived••• Locked
Private client share: 24%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $188Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• R•••••• J••	Chartered Financial Analyst	NEW ALBANY, OH	6	19	1	no
N••••••• R•••••	Chartered Financial Analyst	New Albany, OH	4	10	1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• C•••••••••	MEMBER, RESEARCH ANALYST	Na	yes	01/2023	Mar 21, 2023	Nov 15, 2024
D•••••• R•••••••• H•••••	MEMBER, CEO, CIO & PORTFOLIO MANAGER	C	yes	11/2019	Jun 8, 2020	Nov 15, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$563M	$486M	15.8%	$354M	16.7%	29	29	2	0

Relationships

Registered with (3)

← T••••• L•••••Advisorregistration: current employment
Oct 10, 2023 to presentfactForm ADV
← N••••••• R•••••Advisorregistration: current employment
Feb 7, 2022 to presentfactForm ADV
← J•••• R•••••• J••Advisorregistration: current employment
Jan 16, 2020 to presentfactForm ADV

Controls (13)

Dated events

Occurred
Jun 20, 2024
Control person joined
E•••••••• E•••• S•••• (Member, Business Development) appeared on Schedule A of V••• I••••••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 21, 2023
Control person joined
William Chas Robert Koci (Member, Head Trader) appeared on Schedule A of V••• I••••••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 21, 2023
Control person joined
N••••••• R••••• (Member, Portfolio Manager & Research Analyst) appeared on Schedule A of V••• I••••••••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8a6dfff0-30d3-273b-1290-a5a842bf479b
First observed: Jun 8, 2020
Last observed: Mar 26, 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.