DFX Intelligence

P•••••• 7• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

P•••••• 7• C••••••

P•••••• 7• C••••••, LLC, CRD 284519

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Search this name across graphsid dfx:ria:eaecf863-f391-a089-4194-6b7601461002

Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 10
On other graphs: 0
Observed: Jan 6, 2021 to Mar 9, 2026
24 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: $10.0M••• Locked
Discretionary RAUM: $10.0M
Private client RAUM: $10.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• N•••••••••	MANAGING DIRECTOR	E	yes	04/2011	Aug 28, 2024	Dec 6, 2024
A••••• I••••••••• L••	Owner	E	yes	06/2016	Jan 6, 2021	Dec 6, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 9, 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	1	-1	n/a	0	0	0	0	1

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	$10.0M	$10.0M	0.0%	$70.5M	-47.8%	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
D•••••• L••• S••••• L••	2	Dec 9, 2022	Apr 11, 2022	CINCINNATI, OH	Team lift out	RIA to RIA	33.3%
D•••••• L••• S••••• L••	2	Dec 9, 2022	Apr 11, 2022

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• W••••• M••••••••• L••	3	Dec 31, 2020	Jan 20, 2021	CINCINNATI, OH	Team lift out	RIA to RIA	27.3%
S••••••••• W••••• M••••••••• L••	3	Dec 31, 2020	Jan 20, 2021

Relationships

Registered with (7)

← S•••• G••••• L•••••••Advisorregistration: previous registration
Jan 6, 2026 to Apr 6, 2026factForm ADV
← M••• R••••••••Advisorregistration: previous registration
Jan 20, 2021 to Jun 14, 2023factForm ADV
← C•••••• B•••• G••••••••Advisorregistration: previous registration
Jan 20, 2021 to Dec 9, 2022factForm ADV
← B•••• T•••••• P•••••

Dated events

Occurred
Apr 6, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-162M
Occurred
Dec 9, 2022
Team lift-out

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eaecf863-f391-a089-4194-6b7601461002
First observed: Jan 6, 2021
Last observed: Mar 9, 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.