DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

O••••• W••••••• • D••••••• L••

CRD 160622

CINCINNATI, OH

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Search this name across graphsid dfx:ria:c514eff4-2232-6278-a90d-53df8dc21a23

Data as of Jun 24, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jan 27, 2012 to Jun 24, 2020
23 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: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.2Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• L••••• B•••••••	CHIEF COMPLIANCE OFFICER/ SECRETARY	Na	yes	03/2012	Jan 27, 2012	Jun 24, 2020
O••••• W••••••• • D••••••• L••	LIMITED LIABILITY COMPANY	E	yes	03/2012	Mar 2, 2016	Jun 24, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$1.3B	$787M	62.5%	$732M	20.5%	15	15	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•••••••• A•••••••• L••	2	Jun 30, 2020	Jul 17, 2020	CINCINNATI, OH	Team lift out	RIA to ibd	100.0%

Relationships

Controls (3)

← O•••••• D••••• P•••••OwnerPRESIDENT, ownership code E, individual
Jan 27, 2012 to presentfactForm ADV
← D•••••••• L••••• B•••••••OwnerCHIEF COMPLIANCE OFFICER/ SECRETARY, ownership code NA, individual
Jan 27, 2012 to presentfactForm ADV
← O••••• W••••••• • D••••••• L••OwnerLIMITED LIABILITY COMPANY, ownership code E, domestic entity
Mar 2, 2016 to presentfactForm ADV

Owns (2)

← O•••••• P••••• D••••••OwnerPARTNER, ownership code B, individual

Dated events

Occurred
Aug 15, 2019
Regulatory AUM changed
O••••• W••••••• • D••••••• L•• reported RAUM $1.3B, up 70% from $787.2M (2019-03-25 to 2019-08-15)
Form ADVobserved 7 days ago
$552M
Occurred
Jan 27, 2012
Succession filed (Item 4)
Osborn Rohs Williams & D••••••, Ltd reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c514eff4-2232-6278-a90d-53df8dc21a23
First observed: Jan 27, 2012
Last observed: Jun 24, 2020 76 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.