DFX Intelligence
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SEC-registered adviser
D•••• P••••••• I••
Latest filing Mar 10, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Nov 24, 1989
RAUM
$509M
reported, Item 5.F
Discretionary
6.5%
of RAUM
Private clients
6.5%
$33.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$254M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$509M as of Mar 10, 2026
Mar 30, 2012$33.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Mar 10, 2026
Mar 4, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+8.8% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $254MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 6.5%derivedof RAUM
- Institutional
- 93%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$475M93%
- Individuals$33.1M6.5%
- Individual clients
- 23reported
- HNW clients
- n/areported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.07 fund_share=0.0 institutional_share=0.93 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A••••• N••••• | Dayton, Oh | Nov 17, 1999 | 36 y | 0 |
| J••••• A••••• S•••••••• | Dayton, Oh | Mar 4, 2009 | 25 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••••• A•••• · Presidentcontrolsince 10/1989 · owns 25% to 50%
- N•••••• J••••••• A••••• · Chief Executive Officercontrolsince 10/1989 · owns 25% to 50%
- S••••••••• J•••••• A••••• · Chief Compliance Officer & Coocontrolsince 02/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dayton, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 35 to 33Jan 31, 2025 to Mar 10, 2026
- Advisory employees · 3 to 4Jan 31, 2025 to Mar 10, 2026
- Individual clients · 24 to 23Jan 31, 2025 to Mar 10, 2026
- Pension plan clients · 11 to 10Jan 31, 2025 to Mar 10, 2026
- Employees · 3 to 4Jan 31, 2025 to Mar 10, 2026
- State-registered IARs · 3 to 4Jan 31, 2025 to Mar 10, 2026
- Discretionary RAUM · $32.2M to $33.1MJan 31, 2025 to Mar 10, 2026
- Individual RAUM · $32.2M to $33.1MJan 31, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $424M to $475MJan 31, 2025 to Mar 10, 2026
- Pension RAUM · $424M to $475MJan 31, 2025 to Mar 10, 2026
- RAUM · $456M to $509MJan 31, 2025 to Mar 10, 2026
- Accounts · 37 to 35Dec 13, 2024 to Jan 31, 2025
- Pension plan clients · 13 to 11Dec 13, 2024 to Jan 31, 2025
- Financial planning clients · unset to Dec 13, 2024 to Jan 31, 2025
- Discretionary RAUM · $29.1M to $32.2MDec 13, 2024 to Jan 31, 2025
- Individual RAUM · $29.1M to $32.2MDec 13, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $401M to $424MDec 13, 2024 to Jan 31, 2025
- Pension RAUM · $401M to $424MDec 13, 2024 to Jan 31, 2025
- RAUM · $430M to $456MDec 13, 2024 to Jan 31, 2025
- Accounts · 38 to 37Mar 30, 2023 to Mar 6, 2024
- Individual clients · 25 to 24Mar 30, 2023 to Mar 6, 2024
- Discretionary RAUM · $27.4M to $29.1MMar 30, 2023 to Mar 6, 2024
- Individual RAUM · $27.4M to $29.1MMar 30, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $367M to $401MMar 30, 2023 to Mar 6, 2024
- Pension RAUM · $367M to $401MMar 30, 2023 to Mar 6, 2024
- RAUM · $395M to $430MMar 30, 2023 to Mar 6, 2024
- Accounts · 41 to 38Nov 1, 2022 to Mar 30, 2023
- Individual clients · 28 to 25Nov 1, 2022 to Mar 30, 2023
- Discretionary RAUM · $36.2M to $27.4MNov 1, 2022 to Mar 30, 2023
- Individual RAUM · $36.2M to $27.4MNov 1, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $427M to $367MNov 1, 2022 to Mar 30, 2023
- Pension RAUM · $427M to $367MNov 1, 2022 to Mar 30, 2023
- RAUM · $463M to $395MNov 1, 2022 to Mar 30, 2023
- Accounts · 43 to 41Dec 14, 2021 to Mar 23, 2022
- Individual clients · 30 to 28Dec 14, 2021 to Mar 23, 2022
- Discretionary RAUM · $33.5M to $36.2MDec 14, 2021 to Mar 23, 2022
- Individual RAUM · $33.5M to $36.2MDec 14, 2021 to Mar 23, 2022
- Non-discretionary RAUM · $384M to $427MDec 14, 2021 to Mar 23, 2022
- Pension RAUM · $384M to $427MDec 14, 2021 to Mar 23, 2022
- RAUM · $418M to $463MDec 14, 2021 to Mar 23, 2022
Signals
1 dated events
- ••• LockedMar 23, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- D••••-PARTNERS.COMreportedpublic record, Form ADV, Mar 10, 2026
- Principal office phone
- 937-299-4105reportedpublic record, Form ADV, Mar 10, 2026
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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $254Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026