DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••• I•••••••••
Legal name I•••• I••••••••• L••
Latest filing Jan 15, 2026
First filing on the tape Feb 13, 2012 · 21 filings
SEC status approved since Jun 7, 1984
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$173M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$173M as of Jan 15, 2026
Feb 13, 2012$78.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 15, 2026
Feb 13, 20120 then
Employees (5.A)2 as of Jan 15, 2026
Mar 19, 20133 then
Private funds: no history
RAUM +5.0% over the last fiscal year+7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 15, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $731,153derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$173M100%
- Individual clients
- 237reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 237reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••• C••••••• T••••• · President/Chief Compliance Officercontrolsince 04/1984 · owns 75% or more
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 · 252 to 237Jan 23, 2025 to Jan 15, 2026
- Individual clients · 252 to 237Jan 23, 2025 to Jan 15, 2026
- Discretionary RAUM · $165M to $173MJan 23, 2025 to Jan 15, 2026
- Individual RAUM · $165M to $173MJan 23, 2025 to Jan 15, 2026
- RAUM · $165M to $173MJan 23, 2025 to Jan 15, 2026
- Accounts · 258 to 252Jan 24, 2024 to Jan 23, 2025
- Individual clients · 258 to 252Jan 24, 2024 to Jan 23, 2025
- Financial planning clients · 0 to 0Jan 24, 2024 to Jan 23, 2025
- HQ city · unset to Jan 24, 2024 to Jan 23, 2025
- HQ state · unset to Jan 24, 2024 to Jan 23, 2025
- Discretionary RAUM · $149M to $165MJan 24, 2024 to Jan 23, 2025
- Individual RAUM · $149M to $165MJan 24, 2024 to Jan 23, 2025
- RAUM · $149M to $165MJan 24, 2024 to Jan 23, 2025
- Accounts · 277 to 258Jan 18, 2023 to Jan 24, 2024
- Individual clients · 277 to 258Jan 18, 2023 to Jan 24, 2024
- Discretionary RAUM · $139M to $149MJan 18, 2023 to Jan 24, 2024
- Individual RAUM · $139M to $149MJan 18, 2023 to Jan 24, 2024
- RAUM · $139M to $149MJan 18, 2023 to Jan 24, 2024
- Accounts · 170 to 277Mar 9, 2022 to Jan 18, 2023
- Individual clients · 170 to 277Mar 9, 2022 to Jan 18, 2023
- Discretionary RAUM · $173M to $139MMar 9, 2022 to Jan 18, 2023
- Individual RAUM · $173M to $139MMar 9, 2022 to Jan 18, 2023
- RAUM · $173M to $139MMar 9, 2022 to Jan 18, 2023
- Accounts · 169 to 170Feb 16, 2021 to Mar 9, 2022
- Individual clients · 169 to 170Feb 16, 2021 to Mar 9, 2022
- Discretionary RAUM · $160M to $173MFeb 16, 2021 to Mar 9, 2022
- Individual RAUM · $160M to $173MFeb 16, 2021 to Mar 9, 2022
- RAUM · $160M to $173MFeb 16, 2021 to Mar 9, 2022
- Accounts · 161 to 169Jun 3, 2020 to Jan 28, 2021
- Individual clients · 161 to 169Jun 3, 2020 to Jan 28, 2021
- Discretionary RAUM · $145M to $160MJun 3, 2020 to Jan 28, 2021
- Individual RAUM · $145M to $160MJun 3, 2020 to Jan 28, 2021
- RAUM · $145M to $160MJun 3, 2020 to Jan 28, 2021
- Accounts · 183 to 161Mar 21, 2019 to Feb 20, 2020
- Advisory employees · 3 to 2Mar 21, 2019 to Feb 20, 2020
- Individual clients · 183 to 161Mar 21, 2019 to Feb 20, 2020
- Employees · 3 to 2Mar 21, 2019 to Feb 20, 2020
- Other offices · 1 to 0Mar 21, 2019 to Feb 20, 2020
- Discretionary RAUM · $123M to $145MMar 21, 2019 to Feb 20, 2020
- Individual RAUM · $123M to $145MMar 21, 2019 to Feb 20, 2020
Signals
1 dated events
- I•••• I••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 18, 2013 · Succession (Item 4) · fact
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
- 513-232-2913reportedpublic record, Form ADV, Jan 15, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026