DFX Intelligence

D•••• P••••••• I••: 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 adviserinstitutional managerSEC registeredRAUM 100m 1b

D•••• P••••••• I••

CRD 105133

DAYTON, 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:df8e1c9e-5956-be67-2061-f79ac5fab03c

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 1
Observed: Mar 30, 2012 to Mar 10, 2026
23 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

D•••• P••••••• I••

Investment consultant · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $509M••• Locked
Discretionary RAUM: $33.1M
Private client RAUM: $33.1Mderived••• Locked
Private client share: 7%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $254Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••••• A••••• N•••••	n/a	DAYTON, OH	26	36	n/a	no
J••••• A••••• S••••••••	n/a	DAYTON, OH	17	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• R••••••• A••••	President	C	yes	10/1989	Mar 30, 2012	Dec 13, 2024
N•••••• J••••••• A•••••	CHIEF EXECUTIVE OFFICER	C	yes	10/1989	Mar 30, 2012	Dec 13, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$509M	$456M	11.5%	$395M	8.8%	4	3	0	0

Relationships

Registered with (2)

← J••••• A••••• S••••••••Advisorregistration: current employment
Mar 4, 2009 to presentfactForm ADV
← J•••••• A••••• N•••••Advisorregistration: current employment
Nov 17, 1999 to presentfactForm ADV

Controls (3)

← C•••••••• R••••••• A••••OwnerPRESIDENT, ownership code C, individual
Mar 30, 2012 to Dec 13, 2024factForm ADV
← N•••••• J••••••• A•••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 10, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 23, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$102M

Show 1 bookkeeping events

Occurred
Mar 10, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df8e1c9e-5956-be67-2061-f79ac5fab03c
First observed: Mar 30, 2012
Last observed: Mar 10, 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.