DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

A•••••••• I••••••••• A•••••••• L••

CRD 154619

CINCINNATI, OH

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Search this name across graphsid dfx:ria:f8a40a39-4e78-f011-6649-d65672a890a4

Data as of Jun 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 26, 2012
3 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $2.3B••• Locked
Discretionary RAUM: $6.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,794
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• H••••••• C•••••••••	MANAGING MEMBER	D	yes	01/2008	Mar 29, 2012	Jun 26, 2012
A•••••••• H•••••••• L••	Member	C	yes	01/2008	Mar 29, 2012	Jun 26, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••••• L••	n/a	Independent wealth	$18B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	n/a	no
Boston	Ma	United States	n/a	no
Minneapolis	Mn	United States	n/a	no
NEW YORK	NY	United States	n/a	no
Milwaukee	Wi	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$2.9B	$5.7M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$2.3B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ A••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (9)

← A••••••••• L••OwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 29, 2012 to presentfactForm ADV
← W•••••• R•••••• M•••OwnerCHIEF STRATEGY OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← T•••••• J••••• T•••••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f8a40a39-4e78-f011-6649-d65672a890a4
First observed: Mar 29, 2012
Last observed: Jun 26, 2012 173 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.