DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

L••••• F•••••••• A•••••••• I•••

CRD 158675

COVINGTON, KY

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Data as of Jul 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 11:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 2
On other graphs: 0
Observed: Nov 28, 2011 to Jul 17, 2026
37 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: independent wealth managerderived••• Locked
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.5Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $117Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• C•••••• S••••••••	n/a	CINCINNATI, OH \| COVINGTON, KY	15	28	1	no
S••• H••••• S••••••	Certified Financial Planner	COVINGTON, KY	13	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• L••••• L••	CHIEF OPERATIONS OFFICER	Na	yes	07/2011	Jul 17, 2026	Jul 17, 2026
K•••••••• R•••••• J•••••	DIRECTOR OF INVESTMENTS	Na	yes	04/2019	Jul 17, 2026	Jul 17, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	5	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	$1.5B	$1.3B	20.7%	$988M	15.3%	21	21	2	2

Relationships

Owns (1)

← K••••••• J•••••••• G•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 17, 2026 to presentfactForm ADV

Controls (5)

← K•••••••• R•••••• J•••••OwnerDIRECTOR OF INVESTMENTS, ownership code NA, individual
Jul 17, 2026 to presentfactForm ADV
← M•••••• M••••••• J•••••OwnerCEO AND MANAGING PRINCIPAL, ownership code C, individual
Jul 17, 2026 to presentfactForm ADV
← L••••• P••••• T••••OwnerMANAGING PRINCIPAL, ownership code C, individual

Dated events

Order

Occurred
8 Mar 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
12 Sep 2019
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 28, 2011
Last observed: Jul 17, 2026 2 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.

All 13 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• J••••••• M•••••	n/a	COVINGTON, KY	2	12	1	no
P••• A•••••• S••••••	n/a	COVINGTON, KY	1	41	2	no
M••••••• J•••• L••••••	n/a	Covington, KY	1	10	n/a	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 24, 2016	$384M	$381M	16	10	n/a	n/a	n/a
2014	Jan 21, 2015	$320M	$298M	15	8	n/a	n/a	n/a
2013	Mar 12, 2014	$287M	$256M	18	11	n/a	n/a	n/a
2012	Mar 28, 2013	$231M	$222M	14	10	n/a	n/a	n/a
2011	Jan 31, 2012	$355M	$313M	n/a	n/a	n/a	n/a	n/a