DFX Intelligence

R••••• D•••••• F•••••••• A••••••• 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 adviserformer SEC advisernot on rosterRAUM 100m 1bsuccession filed

R••••• D•••••• F•••••••• A••••••• L••

CRD 119901

CINCINNATI, 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:a962f999-f271-0cb0-1616-c0f759b3b1bb

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 2
On other graphs: 0
Observed: Mar 28, 2012 to Mar 30, 2022
24 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: $493M••• Locked
Discretionary RAUM: $493M
Private client RAUM: $488Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• W••••• P•••••••• L••	Owner	E	yes	09/2021	Jan 11, 2022	Mar 30, 2022
K••••• A•••••• S••••••• H••••••• A• I•••	Owner	E	yes	10/2014	Oct 28, 2021	Mar 30, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
K••••• A••••••• S•••••••• L••	n/a	Bd affiliated wealth	$80B	N	yes	n/a
K••••• P•••••• W••••• S•••••••• L••	n/a	Bd affiliated wealth	$13B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$493M	$437M	12.7%	$361M	10.9%	10	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R••••• D•••••• F•••••••• A••••••• L••	5	Jun 29, 2022	Jun 22, 2022	CINCINNATI, OH	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (21)

← H•••••• W••••• L••Registered adviserother investment adviser, common control
factForm ADV
← K••••• I••••••••• M••••••••• L•••Registered adviserother investment adviser, common control
factForm ADV
← P•••••• M••••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
← H••••• F•••••••• S•••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Jun 29, 2022
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
5 advisors
Occurred
Mar 30, 2022
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a962f999-f271-0cb0-1616-c0f759b3b1bb
First observed: Mar 28, 2012
Last observed: Mar 30, 2022 54 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.