DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

M••••••• S••••••••• L•••

CRD 121217

DAYTON, OH

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Search this name across graphsid dfx:ria:d7deb602-0614-f11e-5ee6-27e15b0e931f

Data as of Aug 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 19, 2012 to Aug 18, 2026
13 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 managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $140M••• Locked
Discretionary RAUM: $140M
Private client RAUM: $137Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $69.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B•••• J•••• W•••••	Certified Financial Planner\|Personal Financial Specialist	DAYTON, OH	11	20	n/a	no
J•••• R• A••••	n/a	DAYTON, OH	0	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• A••••••• A•	Member	B	yes	01/2011	Mar 19, 2012	Feb 27, 2024
H••••• J••••• C•••••••••	MEMBER/SECRETARY & TREASURER	C	yes	01/2004	Mar 19, 2012	Feb 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• S• L•••	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 10, 2026

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	0	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	$140M	$141M	-1.0%	$117M	6.1%	2	1	0	0

Relationships

Registered with (2)

← J•••• R• A••••Advisorregistration: current employment
Jul 8, 2026 to presentfactForm ADV
← B•••• J•••• W•••••Advisorregistration: current employment
Mar 4, 2015 to presentfactForm ADV

Controls (3)

← L•••• M••••••• S••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 19, 2012 to Feb 27, 2024factForm ADV
← H••••• J••••• C•••••••••

Dated events

Occurred
Feb 3, 2021
Control person left
Ray Michael Goldshot (Member/Vice President) no longer on Schedule A of M••••••• S••••••••• L••• (listed 2012-03-19, absent 2021-02-03)
Form ADVobserved 7 days ago
Occurred
Feb 3, 2021
First Form ADV filing
M••••••• S••••••••• L••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7deb602-0614-f11e-5ee6-27e15b0e931f
First observed: Mar 19, 2012
Last observed: Aug 18, 2026 35 days 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.