DFX Intelligence

P•••••• F•••••••• P•••••••• L••: 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 adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••• F•••••••• P•••••••• L••

CRD 299258

WESTERVILLE, 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:e85707b2-f4b4-94a4-afb5-72b293475a55

Data as of Apr 8, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: May 7, 2025 to Apr 8, 2026
4 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=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $226M••• Locked
Discretionary RAUM: $226M
Private client RAUM: $214Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $113Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• T••••• D•••••••	n/a	WESTERVILLE, OH	7	42	3	no
W•••••• B••••••• H•••••••	n/a	WESTERVILLE, OH	1	10

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 8, 2026	$226M	$226M	3	3	0	n/a	n/a

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	$226M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Registered with (3)

← W•••••• B••••••• H•••••••Advisorregistration: current employment
Nov 8, 2024 to presentfactForm ADV
← R••••• T••••• D•••••••Advisorregistration: current employment
May 17, 2019 to presentfactForm ADV
← STEVEN T••••• MORGANAdvisorregistration: previous registration
May 17, 2019 to Mar 16, 2023factForm ADV

Dated events

Occurred
Mar 16, 2023
Advisor changed firm
Steven Thomas Morgan left P•••••• F•••••••• P•••••••• L•• for Arbor Point Advisors (registered 2022-10-12)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e85707b2-f4b4-94a4-afb5-72b293475a55
First observed: May 7, 2025
Last observed: Apr 8, 2026 5 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.