DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

R••••• I••••••••• M••••••••• L••

CRD 164372

LOUISVILLE, KY

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Search this name across graphsid dfx:ria:b35ba92d-c49c-817c-9a5d-f36278864011

Data as of Oct 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: May 21, 2012 to Oct 11, 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: $478M••• Locked
Discretionary RAUM: $478M
Private client RAUM: $398Mderived••• Locked
Private client share: 83%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••••• P•••••••• L• P•	Hedge Fund	$13.6M	Jun 17, 2020	21	Mar 30, 2012	dropped	021-175955
S••••••• P•••••••• L•••	Hedge Fund	$10.7M	Jun 17, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••••• M•••••• N•••••	President	D	yes	04/2012	May 21, 2012	Oct 11, 2022
N•••••• S•••••• T•••	CHIEF COMPLIANCE OFFICER	B	yes	04/2012	May 21, 2012	Oct 11, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••••••• A••••• C•••••••• F••• I• L••	n/a	n/a	n/a	N	yes	n/a
U•••••••• V••••••• F••• 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
2021

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	$478M	$466M	2.7%	$378M	8.2%	4	4	0	0

Relationships

Controls (2)

← M••••••••• M•••••• N•••••OwnerPRESIDENT, ownership code D, individual
May 21, 2012 to presentfactForm ADV
← N•••••• S•••••• T•••OwnerCHIEF COMPLIANCE OFFICER, ownership code B, individual
May 21, 2012 to presentfactForm ADV

Owns (1)

← J••••• M•••• D•••••OwnerPORTFOLIO MANAGER, ownership code B, individual
Nov 14, 2013 to presentfactForm ADV

Registered with (1)

← S••••• T••• N•••••

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 9, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$111M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b35ba92d-c49c-817c-9a5d-f36278864011
First observed: May 21, 2012
Last observed: Oct 11, 2022 48 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.