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.
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SEC-registered adviser
T••• W••••• M••••••••• I••
Legal name T••• I••••••••• M••••••••• I••
Latest filing May 18, 2026
First filing on the tape Nov 30, 2011 · 40 filings
SEC status approved since Feb 13, 1992
RAUM
$679M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$648M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$84.8M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$679M as of May 18, 2026
Mar 22, 2012$286M then
HNW client RAUM$504M as of May 18, 2026
Mar 18, 2018$217M then
State-registered IARs (5.B.3)7 as of May 18, 2026
Feb 7, 20134 then
Employees (5.A)15 as of May 18, 2026
Feb 7, 20139 then
Private funds: no history
RAUM +22% over the last fiscal year+16% a year over threeIARs 8 to 7
Practice profile
derived from the filing of May 18, 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
- $84.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $401,365derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $57.3M, 42 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$504M74%
- Individuals$144M21%
- Pension and profit-sharing plans$27.5M4.1%
- Corporations and businesses$1.6M0.2%
- Charitable organizations$1.1M0.2%
- Individual clients
- 304reported
- HNW clients
- 175reported
- Pension plan clients
- 14reported
- Charitable clients
- n/areported
- Accounts
- 1,691reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.3M for 42 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• G••• | Cincinnati, Oh | Oct 6, 1999 | 34 y | 0 |
| M••• F•••••••• K•••••••• | Cincinnati, Oh | Jan 1, 2000 | 29 y | 0 |
| G•••••• C•••••• L••• | Cincinnati, Oh | Jul 31, 2003 | 24 y | 0 |
| A•••••• H•••• C••••• | Cincinnati, Oh | Mar 21, 2012 | 33 y | 1 |
| J•••• J••• S•••••••••Chartered Financial Analyst | Cincinnati, Oh | Oct 11, 2017 | 13 y | 0 |
| A••••• D•••• M•••••Chartered Financial Analyst | Cincinnati, Oh | Nov 21, 2018 | 14 y | 0 |
| A•••••• W•••••Certified Financial Planner | Cincinnati, Oh | Aug 15, 2025 | 13 y | 1 |
| A••••• J••• W••••••Chartered Financial Analyst | Cincinnati, Oh | Jun 10, 2026 | 10 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 headcount2 left over 36 months
Left, latest
- G•••• L• C••••••••• to R••• F•••••••• P•••••••Aug 7, 2025 · RIA to RIA
- E••• M••••• P••••• to R••• F•••••••• P•••••••Feb 3, 2025 · RIA to RIA
- B••••• L•••• R•••• to T•••••• F•••••••• A••••••• L••Sep 26, 2012 · Other
Joined, latest
- A•••••• W••••• from C•••••• S••••• • C••• I•••Aug 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- A•••••• H•••• C••••• from C•••••• S••••• • C••• I•••Mar 21, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• J••••• E••••• · Chief Investment Officer/Shareholdercontrolsince 04/1992 · owns 25% to 50%
- K••••••••• M•••• F•••••••• · Chief M•••Eting Officer/Shareholdercontrolsince 01/1997 · owns 25% to 50%
- L•••• G••••••• C•••••• · Chief Compliance Officer/Shareholdercontrolsince 07/2002 · owns 25% to 50%
- K•••••• J••••• K••••••• · Chief Operations Officer/Shareholdersince 01/2005 · owns less than 5%
- M•••••• A•••••• D•••• · Directorsince 01/2021 · owns 5% to 10%
- S••••••••• J••••• J••• · Directorsince 01/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- G•••••• C• L•••• E•••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,610 to 1,691Aug 13, 2025 to Jan 16, 2026
- Advisory employees · 8 to 7Aug 13, 2025 to Jan 16, 2026
- HNW clients · 167 to 175Aug 13, 2025 to Jan 16, 2026
- Individual clients · 306 to 304Aug 13, 2025 to Jan 16, 2026
- Pension plan clients · 15 to 14Aug 13, 2025 to Jan 16, 2026
- Assets in custody · $38.9M to $57.3MAug 13, 2025 to Jan 16, 2026
- Employees · 13 to 15Aug 13, 2025 to Jan 16, 2026
- State-registered IARs · 8 to 7Aug 13, 2025 to Jan 16, 2026
- Discretionary RAUM · $558M to $679MAug 13, 2025 to Jan 16, 2026
- HNW RAUM · $414M to $504MAug 13, 2025 to Jan 16, 2026
- Individual RAUM · $119M to $144MAug 13, 2025 to Jan 16, 2026
- Pension RAUM · $22.5M to $27.5MAug 13, 2025 to Jan 16, 2026
- RAUM · $558M to $679MAug 13, 2025 to Jan 16, 2026
- Accounts · 1,564 to 1,610Feb 29, 2024 to Feb 26, 2025
- Advisory employees · 7 to 8Feb 29, 2024 to Feb 26, 2025
- HNW clients · 150 to 167Feb 29, 2024 to Feb 26, 2025
- Individual clients · 320 to 306Feb 29, 2024 to Feb 26, 2025
- Pension plan clients · 18 to 15Feb 29, 2024 to Feb 26, 2025
- Assets in custody · $24.5M to $38.9MFeb 29, 2024 to Feb 26, 2025
- Employees · 10 to 13Feb 29, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 101-250Feb 29, 2024 to Feb 26, 2025
- State-registered IARs · 7 to 8Feb 29, 2024 to Feb 26, 2025
- Other offices · 0 to 1Feb 29, 2024 to Feb 26, 2025
- Discretionary RAUM · $514M to $558MFeb 29, 2024 to Feb 26, 2025
- HNW RAUM · $369M to $414MFeb 29, 2024 to Feb 26, 2025
- Individual RAUM · $122M to $119MFeb 29, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $370,414 to $0Feb 29, 2024 to Feb 26, 2025
- Pension RAUM · $21.0M to $22.5MFeb 29, 2024 to Feb 26, 2025
- RAUM · $514M to $558MFeb 29, 2024 to Feb 26, 2025
- Accounts · 1,455 to 1,564Oct 13, 2023 to Feb 29, 2024
- HNW clients · 140 to 150Oct 13, 2023 to Feb 29, 2024
- Individual clients · 307 to 320Oct 13, 2023 to Feb 29, 2024
- Pension plan clients · 20 to 18Oct 13, 2023 to Feb 29, 2024
- Assets in custody · $19.7M to $24.5MOct 13, 2023 to Feb 29, 2024
- Employees · 11 to 10Oct 13, 2023 to Feb 29, 2024
- Financial planning clients · 51-100 to 101-250Oct 13, 2023 to Feb 29, 2024
- Discretionary RAUM · $436M to $514MOct 13, 2023 to Feb 29, 2024
- HNW RAUM · $305M to $369MOct 13, 2023 to Feb 29, 2024
- Individual RAUM · $108M to $122MOct 13, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $64,465 to $370,414Oct 13, 2023 to Feb 29, 2024
Signals
2 dated events
- G•••• L• C••••••••• left T••• W••••• M••••••••• I•• for R••• F•••••••• P••••••• (registered 2025-08-15)Aug 7, 2025 · Advisor changed firm · fact
- E••• M••••• P••••• left T••• W••••• M••••••••• I•• for R••• F•••••••• P••••••• (registered 2025-06-11)Feb 3, 2025 · Advisor changed firm · 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
- Firm profile
- LINKEDIN.COM/COMPANY/T•••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-271-6777reportedpublic record, Form ADV, May 18, 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
- $84.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026