DFX Intelligence
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S•••••••• • C• I••
Independent wealth managerSEC-registered· Cincinnati, Ohio
Independent wealth manager, based in Cincinnati, Ohio, reporting $286M of regulatory assets across 3 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
- $286M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +2.5%
- Private clients
- 86% of RAUM, $247M
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
- Contact points 1
Every filed figure, and the identifiersCRD 105264 · SEC 801-11987 · 18 filingsShowHide
CRD 105264SEC 801-11987First filing on the tape Mar 13, 2012, latest Mar 16, 2026SEC status approved since Sep 7, 1976IAPD
RAUM
$286M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
86%
$247M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$95.4M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$286M as of Mar 16, 2026
Mar 13, 2012$172M then
HNW client RAUM$238M as of Mar 16, 2026
Mar 13, 2018$185M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 13, 20120 then
Employees (5.A)4 as of Mar 16, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +2.5% over the last fiscal year+3.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $95.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M83%
- Pension and profit-sharing plans$23.9M8.3%
- Charitable organizations$11.7M4.1%
- Individuals$9.1M3.2%
- Corporations and businesses$3.9M1.3%
- Individual clients
- 23reported
- HNW clients
- 61reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 206reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H•••• L•••• S•••••••• | Cincinnati, Oh | Jan 1, 2000 | 50 y | 0 |
| J••• M••••• S•••••••• | Cincinnati, Oh | Jan 1, 2000 | 30 y | 0 |
| H•••• M•••• S•••••••• | Cincinnati, Oh | Apr 16, 2002 | 26 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
- S••••••••• H••••• L•••• · Treasurer, Directorcontrolsince 07/1976 · owns less than 5%
- S••••••••• J•••• M••••• · President, Secretary, Director, Chief Compliance Officercontrolsince 03/1998 · owns 75% or more
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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 215 to 206Mar 10, 2025 to Mar 16, 2026
- HNW clients · 62 to 61Mar 10, 2025 to Mar 16, 2026
- Individual clients · 24 to 23Mar 10, 2025 to Mar 16, 2026
- Pension plan clients · 2 to 1Mar 10, 2025 to Mar 16, 2026
- Discretionary RAUM · $258M to $261MMar 10, 2025 to Mar 16, 2026
- HNW RAUM · $233M to $238MMar 10, 2025 to Mar 16, 2026
- Individual RAUM · $9.6M to $9.1MMar 10, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $21.5M to $25.4MMar 10, 2025 to Mar 16, 2026
- Pension RAUM · $22.5M to $23.9MMar 10, 2025 to Mar 16, 2026
- RAUM · $279M to $286MMar 10, 2025 to Mar 16, 2026
- Accounts · 210 to 215Mar 11, 2024 to Mar 10, 2025
- HNW clients · 61 to 62Mar 11, 2024 to Mar 10, 2025
- Individual clients · 23 to 24Mar 11, 2024 to Mar 10, 2025
- Financial planning clients · unset to Mar 11, 2024 to Mar 10, 2025
- Discretionary RAUM · $239M to $258MMar 11, 2024 to Mar 10, 2025
- HNW RAUM · $216M to $233MMar 11, 2024 to Mar 10, 2025
- Individual RAUM · $8.9M to $9.6MMar 11, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $18.7M to $21.5MMar 11, 2024 to Mar 10, 2025
- Pension RAUM · $19.7M to $22.5MMar 11, 2024 to Mar 10, 2025
- RAUM · $257M to $279MMar 11, 2024 to Mar 10, 2025
- Accounts · 208 to 210Mar 8, 2023 to Mar 11, 2024
- Individual clients · 21 to 23Mar 8, 2023 to Mar 11, 2024
- Discretionary RAUM · $243M to $239MMar 8, 2023 to Mar 11, 2024
- HNW RAUM · $216M to $216MMar 8, 2023 to Mar 11, 2024
- Individual RAUM · $8.6M to $8.9MMar 8, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $16.7M to $18.7MMar 8, 2023 to Mar 11, 2024
- Pension RAUM · $17.4M to $19.7MMar 8, 2023 to Mar 11, 2024
- RAUM · $259M to $257MMar 8, 2023 to Mar 11, 2024
- Accounts · 220 to 208Feb 28, 2022 to Mar 8, 2023
- HNW clients · 60 to 61Feb 28, 2022 to Mar 8, 2023
- Individual clients · 25 to 21Feb 28, 2022 to Mar 8, 2023
- Discretionary RAUM · $268M to $243MFeb 28, 2022 to Mar 8, 2023
- HNW RAUM · $237M to $216MFeb 28, 2022 to Mar 8, 2023
- Individual RAUM · $10.5M to $8.6MFeb 28, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $17.0M to $16.7MFeb 28, 2022 to Mar 8, 2023
- Pension RAUM · $18.3M to $17.4MFeb 28, 2022 to Mar 8, 2023
- RAUM · $285M to $259MFeb 28, 2022 to Mar 8, 2023
- Accounts · 215 to 220Mar 15, 2021 to Feb 28, 2022
- HNW clients · 62 to 60Mar 15, 2021 to Feb 28, 2022
- Discretionary RAUM · $240M to $268MMar 15, 2021 to Feb 28, 2022
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 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
- $95.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026