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Former SEC-registered adviserFormer SEC adviser· Columbus, Ohio

Former SEC-registered adviser, based in Columbus, Ohio, reporting $144M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2021-03-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $144M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -14%
Private clients: 89% of RAUM, $128M

Advisors Advisor movement Where the RAUM sits

As of 2021-03-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 16 Form ADV filings for this adviser, the latest 5.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 104873 · SEC 801-17936 · 16 filingsShow

CRD 104873SEC 801-17936First filing on the tape Mar 26, 2012, latest Mar 15, 2021IAPD

RAUM

$144M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

89%

$128M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

16 filings and snapshots on the tape

RAUM$144M as of Mar 15, 2021

Mar 26, 2012$119M then

HNW client RAUM$77.1M as of Mar 15, 2021

Mar 16, 2018$66.1M then

State-registered IARs (5.B.3)2 as of Mar 15, 2021

Mar 22, 20132 then

Employees (5.A)2 as of Mar 15, 2021

Mar 22, 20132 then

Private funds: no history

RAUM -14% over the last fiscal year+0.3% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 15, 2021; every figure names its basis

RAUM per advisor: $71.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 104derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $656,743derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: -14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -4.2%derived
Compensation: percentage of assets, commissionsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $1.2M, 5 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

is an insurance broker or agent (6.A.6)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$77.1M54%
Individuals$51.1M36%
Pension and profit-sharing plans$14.0M9.8%
Corporations and businesses$1.1M0.8%
Charitable organizations$505,3010.4%

Individual clients: 177reported
HNW clients: 30reported
Pension plan clients: 9reported
Charitable clients: 1reported
Accounts: 219reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $1.2M for 5 clientsreported
Compensation: % of AUM, commissionsreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• J••••• S••••• · President/Treasurer/Chief Compliance Officercontrol
since 10/1997 · owns 50% to 75%
K•••• R••••••• D•••••• · Vice Pres./Secretarycontrol
since 10/1997 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 230 to 219
Jul 1, 2020 to Mar 15, 2021
Corporate clients · 3 to 2
Jul 1, 2020 to Mar 15, 2021
HNW clients · 42 to 30
Jul 1, 2020 to Mar 15, 2021
Individual clients · 174 to 177
Jul 1, 2020 to Mar 15, 2021
Pension plan clients · 10 to 9
Jul 1, 2020 to Mar 15, 2021
Assets in custody · $2.7M to $1.2M
Jul 1, 2020 to Mar 15, 2021
Discretionary RAUM · $167M to $144M
Jul 1, 2020 to Mar 15, 2021
HNW RAUM · $94.8M to $77.1M
Jul 1, 2020 to Mar 15, 2021
Individual RAUM · $49.3M to $51.1M
Jul 1, 2020 to Mar 15, 2021
Pension RAUM · $21.2M to $14.0M
Jul 1, 2020 to Mar 15, 2021
RAUM · $167M to $144M
Jul 1, 2020 to Mar 15, 2021
Accounts · 250 to 230
Nov 19, 2019 to Mar 20, 2020
HNW clients · 28 to 42
Nov 19, 2019 to Mar 20, 2020
Individual clients · 207 to 174
Nov 19, 2019 to Mar 20, 2020
Pension plan clients · 11 to 10
Nov 19, 2019 to Mar 20, 2020
Assets in custody · $2.6M to $2.7M
Nov 19, 2019 to Mar 20, 2020
Discretionary RAUM · $139M to $167M
Nov 19, 2019 to Mar 20, 2020
HNW RAUM · $65.4M to $94.8M
Nov 19, 2019 to Mar 20, 2020
Individual RAUM · $52.0M to $49.3M
Nov 19, 2019 to Mar 20, 2020
Pension RAUM · $19.6M to $21.2M
Nov 19, 2019 to Mar 20, 2020
RAUM · $139M to $167M
Nov 19, 2019 to Mar 20, 2020
Accounts · 315 to 250
Jun 12, 2018 to Mar 15, 2019
Corporate clients · 4 to 3
Jun 12, 2018 to Mar 15, 2019
Individual clients · 268 to 207
Jun 12, 2018 to Mar 15, 2019
Pension plan clients · 14 to 11
Jun 12, 2018 to Mar 15, 2019
Assets in custody · $25.5M to $2.6M
Jun 12, 2018 to Mar 15, 2019
Discretionary RAUM · $143M to $139M
Jun 12, 2018 to Mar 15, 2019
HNW RAUM · $66.1M to $65.4M
Jun 12, 2018 to Mar 15, 2019
Individual RAUM · $55.8M to $52.0M
Jun 12, 2018 to Mar 15, 2019
Pension RAUM · $19.3M to $19.6M
Jun 12, 2018 to Mar 15, 2019
RAUM · $143M to $139M
Jun 12, 2018 to Mar 15, 2019
Accounts · 536 to 315
Mar 30, 2017 to Mar 16, 2018
Charity clients · unset to 1.0
Mar 30, 2017 to Mar 16, 2018
Corporate clients · unset to 4.0
Mar 30, 2017 to Mar 16, 2018
HNW clients · unset to 28.0
Mar 30, 2017 to Mar 16, 2018
Individual clients · unset to 268.0
Mar 30, 2017 to Mar 16, 2018
Pension plan clients · unset to 14.0
Mar 30, 2017 to Mar 16, 2018
Assets in custody · unset to 25452009.0
Mar 30, 2017 to Mar 16, 2018
Custody of client assets · false to true
Mar 30, 2017 to Mar 16, 2018
Other offices · unset to 0.0
Mar 30, 2017 to Mar 16, 2018

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026