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
R••••••••• I••••••••• M•••••••••
Legal name T•• R••••••••• G•••• L••
Latest filing Apr 16, 2026
First filing on the tape Nov 18, 2011 · 35 filings
SEC status approved since Sep 26, 1995
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.1%
$265M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$363M
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.9B as of Apr 16, 2026
Mar 13, 2012$3.7B then
HNW client RAUM$171M as of Apr 16, 2026
Mar 28, 2018$121M then
State-registered IARs (5.B.3)1 as of Apr 16, 2026
Feb 6, 20134 then
Employees (5.A)19 as of Apr 16, 2026
Feb 6, 201322 then
Private funds: no history
RAUM +5.1% over the last fiscal year+10% a year over threeIARs 8 to 1
Practice profile
derived from the filing of Apr 16, 2026; every figure names its basis
- RAUM per advisor
- $363MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -88%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$171M23%
- Investment companies$165M22%
- Corporations and businesses$110M15%
- Individuals$94.1M13%
- State and municipal entities$80.4M11%
- Charitable organizations$49.5M6.7%
- Banks and thrifts$42.2M5.7%
- Pension and profit-sharing plans$27.1M3.7%
- Individual clients
- 184reported
- HNW clients
- 30reported
- Pension plan clients
- 1reported
- Charitable clients
- 4reported
- Accounts
- 2,085reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $584M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.09 fund_share=0.06 institutional_share=0.05 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• E••Chartered Financial Analyst | Covington, Ky | Mar 22, 2017 | 33 y | 0 |
| M•••••• E••••• S••••••Chartered Financial Analyst | Covington, Ky | Feb 2, 2018 | 35 y | 0 |
| K••• J•••••••Certified Financial Planner | Covington, Ky | Nov 21, 2024 | 12 y | 0 |
| B••• N••••••• Z•••••Chartered Financial Analyst | Covington, Ky | Aug 4, 2025 | 22 y | 0 |
| M•••••• J•• S•••••••••Chartered Financial Analyst | Covington, Ky | Aug 4, 2025 | 12 y | 0 |
| P••• A•••••• R•••••••Chartered Financial Analyst | Covington, Ky | Nov 12, 2025 | 32 y | 1 |
| C••••• J••• L••••••Chartered Financial Analyst | Wauwatosa, Wi | Jan 1, 2026 | 33 y | 1 |
| P•••••• J• M•••••••Chartered Financial Analyst | Covington, Ky | Jan 1, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••••• F••• to M••••• S••••••Feb 27, 2009 · Other
- J••••••• C•••• T••••••••• to R••••• W• B•••• • C•• I•••••••••Jan 15, 2008 · Other
Joined, latest
- P•••••• J• M••••••• from G•••••• I••••••••• M•••••••••Jan 1, 2026 · Other
- J••••••• F••• from R••••• W• B•••• • C•• I•••••••••Oct 24, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• J••• G••••• · Senior Partner/LLC Membercontrolsince 07/2003 · owns less than 5%
- E••• A••• · Partner/LLC Membercontrolsince 01/2019 · owns less than 5%
- M••••••• M•••• C••••••• · Partner/LLC Membercontrolsince 07/2003 · owns less than 5%
- R•••••••• P•••• A•••••• · Managing Partner/Executive Committee Member/LLC Membercontrolsince 11/1995 · owns 5% to 10%
- S••••••• M••••••• E••••• · Managing Partner/Executive Committee Member/Ciocontrolsince 11/1995 · owns less than 5%
- S••••••••• M••••••• J•• · Partnercontrolsince 01/2024 · owns less than 5%
- W••••••• S•••••• S•••••••• · Chief Compliance Officer/Coo/Senior Partner/LLC Membercontrolsince 07/2003 · owns less than 5%
- S••••••• M••••••• E••••• · Shareholdercontrolsince 11/1995 · owns 75% or more of S•••••• F•••••••• M••••••••• I•••
Entity owners
- A•• R••••••••• H••••••• L•• · Manager Memberdirect · owns 50% to 75%
- S•••••• F•••••••• M••••••••• I••• · LLC Memberdirect · owns 5% to 10%
- A••••••••• M••••••• G••••• I••• · Sole Member And Managerindirect · owns 75% or more of A•• R••••••••• H••••••• L•• · public reporting company
Related persons
Schedule D 7.A
- A•• F•••• L••investment adviserbankpooled vehicle sponsornRAUM $18B
Advisers that list R••••••••• I••••••••• M••••••••• as a related person
- 153456 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Covington, Ky · principal | 8 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Apr 16, 2026advisory representatives (Item 5.B.3) moved from 8.0 to 1.0 (-88.0%) between the annual amendments of 2025-03-25 and 2026-04-16; the peer median change was 0.0% (44 comparable advisers, 0.0th percentile of changes)peers: other advisers, $1B to $5B (44) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 8 to 7Mar 23, 2026 to Apr 16, 2026
- Accounts · 1,652 to 2,085Mar 25, 2025 to Mar 23, 2026
- Charity clients · 5 to 4Mar 25, 2025 to Mar 23, 2026
- Corporate clients · 4 to 3Mar 25, 2025 to Mar 23, 2026
- HNW clients · 35 to 30Mar 25, 2025 to Mar 23, 2026
- Employees · 21 to 19Mar 25, 2025 to Mar 23, 2026
- State-registered IARs · 8 to 1Mar 25, 2025 to Mar 23, 2026
- Discretionary RAUM · $2.8B to $2.9BMar 25, 2025 to Mar 23, 2026
- HNW RAUM · $175M to $171MMar 25, 2025 to Mar 23, 2026
- Individual RAUM · $83.4M to $94.1MMar 25, 2025 to Mar 23, 2026
- Pension RAUM · $25.0M to $27.1MMar 25, 2025 to Mar 23, 2026
- RAUM · $2.8B to $2.9BMar 25, 2025 to Mar 23, 2026
- Wrap assets (manager) · $1.8B to $584MMar 25, 2025 to Mar 23, 2026
- Accounts · 1,208 to 1,652Mar 20, 2024 to Mar 25, 2025
- Advisory employees · 7 to 8Mar 20, 2024 to Mar 25, 2025
- Corporate clients · 8 to 4Mar 20, 2024 to Mar 25, 2025
- HNW clients · 41 to 35Mar 20, 2024 to Mar 25, 2025
- Individual clients · 328 to 184Mar 20, 2024 to Mar 25, 2025
- Pension plan clients · 2 to 1Mar 20, 2024 to Mar 25, 2025
- Employees · 17 to 21Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 25, 2025
- State-registered IARs · 7 to 8Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $2.5B to $2.8BMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $159M to $175MMar 20, 2024 to Mar 25, 2025
- Individual RAUM · $111M to $83.4MMar 20, 2024 to Mar 25, 2025
- Pension RAUM · $24.8M to $25.0MMar 20, 2024 to Mar 25, 2025
- RAUM · $2.5B to $2.8BMar 20, 2024 to Mar 25, 2025
- Accounts · 1,099 to 1,208Mar 2, 2023 to Mar 20, 2024
- Corporate clients · 10 to 8Mar 2, 2023 to Mar 20, 2024
- HNW clients · 45 to 41Mar 2, 2023 to Mar 20, 2024
- Individual clients · 324 to 328Mar 2, 2023 to Mar 20, 2024
- Discretionary RAUM · $2.2B to $2.5BMar 2, 2023 to Mar 20, 2024
- HNW RAUM · $146M to $159MMar 2, 2023 to Mar 20, 2024
- Individual RAUM · $92.6M to $111MMar 2, 2023 to Mar 20, 2024
- Pension RAUM · $22.3M to $24.8MMar 2, 2023 to Mar 20, 2024
- RAUM · $2.2B to $2.5BMar 2, 2023 to Mar 20, 2024
- Wrap assets (manager) · $312M to $1.8BMar 2, 2023 to Mar 20, 2024
- Accounts · 998 to 1,099Oct 17, 2022 to Mar 2, 2023
- Advisory employees · 8 to 7Oct 17, 2022 to Mar 2, 2023
- Corporate clients · 6 to 10Oct 17, 2022 to Mar 2, 2023
Signals
6 dated events
- Jon Michael Streitmarter (Partner) appeared on Schedule A of R••••••••• I••••••••• M•••••••••Mar 20, 2024 · Control person joined · fact
- Michael Andrew Temming (Partner/Llc Member) no longer on Schedule A of R••••••••• I••••••••• M••••••••• (listed 2022-10-17, absent 2023-03-02)Mar 2, 2023 · Control person left · inference
- Michael Eric Aber (Partner/Llc Member) no longer on Schedule A of R••••••••• I••••••••• M••••••••• (listed 2022-03-10, absent 2022-10-17)Oct 17, 2022 · Control person left · inference
- Jason Kevin Patton (Chief Compliance Officer/Partner/Llc Member) no longer on Schedule A of R••••••••• I••••••••• M••••••••• (listed 2019-03-26, absent 2020-01-15)Jan 15, 2020 · Control person left · inference
- R••••••••• I••••••••• M••••••••• reported RAUM $3.1B, down 43% from $5.5B (2018-05-24 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- A••• E•• (Partner/Llc Member) appeared on Schedule A of R••••••••• I••••••••• M•••••••••Mar 26, 2019 · Control person joined · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-723-4500reportedpublic record, Form ADV, Apr 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $363Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026