DFX Intelligence

E••••• A••••••• O• K••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••• A••••••• O• K••••••• I••

CRD 116398

LEXINGTON, KY

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Search this name across graphsid dfx:ria:dc29218d-f318-2d33-2401-c0389429c565

Data as of Mar 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Mar 26, 2026
36 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $142M••• Locked
Discretionary RAUM: $6.6M
Private client RAUM: $142Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $47.2Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•• R•••••	Certified Financial Planner	LEXINGTON, KY	4	12	1	no
K•••••• A••••••• L•••••••	n/a	LEXINGTON, KY	1	9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• E•••• M•	OWNER & CHIEF COMPLIANCE OFFICER	C	yes	06/2023	Mar 26, 2020	Aug 21, 2024
R•••••• F••	Owner	D	yes	06/2023	Mar 28, 2019	Aug 21, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	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	$142M	$125M	13.3%	$106M	10.3%	3	3	1	1

Relationships

Registered with (4)

← E••• M• F••••Advisorregistration: current employment
Jan 7, 2026 to presentfactForm ADV
← K•••••• A••••••• L•••••••Advisorregistration: current employment
Mar 7, 2025 to presentfactForm ADV
← F•• R•••••Advisorregistration: previous registration
Jan 20, 2017 to Dec 31, 2018factForm ADV
← J••••••• S•• M•••••

Dated events

Occurred
Jul 20, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 15, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc29218d-f318-2d33-2401-c0389429c565
First observed: Mar 29, 2012
Last observed: Mar 26, 2026 6 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.