DFX Intelligence
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C••••••••• F•••••••• P••••••• C•••
Independent wealth manager, based in Cincinnati, Ohio, reporting $343M of regulatory assets across 4 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $343M
- Advisors
- 4
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +18%
- Private clients
- 99% of RAUM, $340M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $290MRAUM now $343M
- Contact points 5
Every filed figure, and the identifiersCRD 105143 · SEC 801-19769 · 25 filingsShowHide
CRD 105143SEC 801-19769First filing on the tape Mar 29, 2012, latest Jun 3, 2026SEC status approved since Sep 19, 1983IAPD
RAUM
$343M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$340M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.8M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$343M as of Jun 3, 2026
Mar 29, 2012$158M then
HNW client RAUM$230M as of Jun 3, 2026
Mar 28, 2018$121M then
State-registered IARs (5.B.3)4 as of Jun 3, 2026
Mar 29, 20120 then
Employees (5.A)6 as of Jun 3, 2026
Mar 27, 20135 then
Private funds: no history
RAUM +18% over the last fiscal year+11% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $85.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $291,068derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $104M, 290 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
- 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$230M67%
- Individuals$110M32%
- Pension and profit-sharing plans$3.0M0.9%
- Charitable organizations$152,5690.0%
- Individual clients
- 254reported
- HNW clients
- 113reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 1,179reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $104M for 290 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• H•••••• P•••••Chartered Financial Consultant | Cincinnati, Oh | Feb 17, 2023 | 35 y | 0 |
| M•••••• B•• B•••••Certified Financial Planner | Cincinnati, Oh | Feb 17, 2023 | 30 y | 0 |
| J••••• T• P••••Certified Financial Planner | Cincinnati, Oh | Feb 21, 2023 | 13 y | 0 |
| K•••• J• B••••Certified Financial Planner | Cincinnati, Oh | Jan 3, 2024 | 16 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
- P•••••• S••••••• H•••••• · Chief Executive Officercontrolsince 12/2022 · owns 75% or more
- B••••• K••••• J• · Office Administratorsince 12/2022 · owns less than 5%
- B•••••• M••••••• B•• · Senior Financial Plannersince 05/2001 · owns less than 5%
- B•••• B•••••• · Office Administratorsince 08/1999 · owns less than 5%
- E••••••••• L••••• S•••• · Chief Compliance Officersince 09/2023 · owns less than 5%
- P••••• J•••••• T• · Financial Plannersince 06/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,602 to 1,179Apr 17, 2025 to Mar 11, 2026
- HNW clients · 87 to 113Apr 17, 2025 to Mar 11, 2026
- Individual clients · 262 to 254Apr 17, 2025 to Mar 11, 2026
- Assets in custody · $111M to $104MApr 17, 2025 to Mar 11, 2026
- Employees · 5 to 6Apr 17, 2025 to Mar 11, 2026
- Discretionary RAUM · $272M to $337MApr 17, 2025 to Mar 11, 2026
- HNW RAUM · $162M to $230MApr 17, 2025 to Mar 11, 2026
- Individual RAUM · $126M to $110MApr 17, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $17.7M to $6.1MApr 17, 2025 to Mar 11, 2026
- Pension RAUM · $2.3M to $3.0MApr 17, 2025 to Mar 11, 2026
- RAUM · $290M to $343MApr 17, 2025 to Mar 11, 2026
- Accounts · 1,640 to 1,602Mar 13, 2024 to Apr 17, 2025
- HNW clients · 77 to 87Mar 13, 2024 to Apr 17, 2025
- Individual clients · 290 to 262Mar 13, 2024 to Apr 17, 2025
- Assets in custody · $105M to $111MMar 13, 2024 to Apr 17, 2025
- Financial planning clients · 251-500 to 251-500Mar 13, 2024 to Apr 17, 2025
- Discretionary RAUM · $258M to $272MMar 13, 2024 to Apr 17, 2025
- HNW RAUM · $146M to $162MMar 13, 2024 to Apr 17, 2025
- Individual RAUM · $125M to $126MMar 13, 2024 to Apr 17, 2025
- Non-discretionary RAUM · $15.3M to $17.7MMar 13, 2024 to Apr 17, 2025
- Pension RAUM · $2.0M to $2.3MMar 13, 2024 to Apr 17, 2025
- RAUM · $273M to $290MMar 13, 2024 to Apr 17, 2025
- Accounts · 1,695 to 1,640Dec 8, 2023 to Mar 13, 2024
- Advisory employees · 3 to 4Dec 8, 2023 to Mar 13, 2024
- HNW clients · 84 to 77Dec 8, 2023 to Mar 13, 2024
- Individual clients · 291 to 290Dec 8, 2023 to Mar 13, 2024
- Assets in custody · unset to 105239504.0Dec 8, 2023 to Mar 13, 2024
- Custody of client assets · false to trueDec 8, 2023 to Mar 13, 2024
- State-registered IARs · 3 to 4Dec 8, 2023 to Mar 13, 2024
- Discretionary RAUM · $235M to $258MDec 8, 2023 to Mar 13, 2024
- HNW RAUM · $122M to $146MDec 8, 2023 to Mar 13, 2024
- Individual RAUM · $126M to $125MDec 8, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $14.0M to $15.3MDec 8, 2023 to Mar 13, 2024
- Pension RAUM · unset to 1979318.0Dec 8, 2023 to Mar 13, 2024
- RAUM · $249M to $273MDec 8, 2023 to Mar 13, 2024
- State-registered IARs · 0 to 3Mar 2, 2023 to Mar 8, 2023
- Accounts · 1,658 to 1,695Feb 17, 2022 to Mar 1, 2023
- Advisory employees · 4 to 3Feb 17, 2022 to Mar 1, 2023
- HNW clients · 82 to 84Feb 17, 2022 to Mar 1, 2023
- Individual clients · 272 to 291Feb 17, 2022 to Mar 1, 2023
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.
How to reach
public business contact points only, each with its source
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 3, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 3, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $85.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026