DFX Intelligence

O•••• W••••• P•••••• C•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserState registeredState registeredRAUM 100m 1b

O•••• W••••• P•••••• C•••••• L••

CRD 318012

CINCINNATI, OH

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Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Mar 23, 2026 to Mar 23, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $102M••• Locked
Discretionary RAUM: $102M
Private client RAUM: $102Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Employees: 10
Advisory employees: 5

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• R•• W•••••	n/a	CINCINNATI, OH	4	20	6	no
D•••••• A••• D•••••	n/a	CINCINNATI, OH \| FORT WORTH, KY	1	15

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	2	-2	n/a	0	0	0	4	3

Relationships

Affiliated with (1)

← F••••••••• I••••••••• A••••••• L••Registered adviserother investment adviser
factForm ADV

Registered with (8)

← B•••••• W• J•••••••Advisorregistration: current employment
May 29, 2025 to presentfactForm ADV
← K•••• A• L••••Advisorregistration: current employment
Mar 3, 2025 to presentfactForm ADV
←

Dated events

Order

Occurred
6 Jan 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
13 Oct 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
3 Feb 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
24 Jan 2023
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 23, 2026
Last observed: Mar 23, 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.