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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Former SEC-registered adviser

T•• R••••••••• C••••••••• O• A••••••

Former SEC-registered adviserCincinnati, OhioCRD 105994SEC 801-26109IAPD
Latest filing Mar 28, 2022
First filing on the tape Nov 7, 2011 · 37 filings
RAUM
$632M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$630M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$632M as of Mar 28, 2022
Feb 9, 2012$364M then
HNW client RAUM$417M as of Mar 28, 2022
Mar 30, 2018$277M then
State-registered IARs (5.B.3)4 as of Mar 28, 2022
Feb 9, 20120 then
Employees (5.A)7 as of Mar 28, 2022
Mar 5, 201312 then
Private funds: no history
RAUM +11% over the last fiscal year+11% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 28, 2022; every figure names its basis
RAUM per advisor
$158MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
212derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$324,131derivedRAUM over accounts (5.F.2.f)
Discretionary
96%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • 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$417M66%
  • Individuals$214M34%
  • Charitable organizations$1.7M0.3%
Individual clients
652reported
HNW clients
194reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
1,950reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• M••••••• L•••• · Directorcontrol
    since 04/2017 · owns less than 5%
  • C•••••••• R•••••• A••••• · Directorcontrol
    since 06/2020 · owns less than 5%
  • F•••••• E•••••• P•••••• · Head Of Manager Research--F•••• T•••• B•••• N••••••• A•••••••••control
    since 11/2020 · owns less than 5%
  • K••••• G•••••• M••••••• · Directorcontrol
    since 12/2019 · owns less than 5%
  • K••••••• M••••••• F•••••• · Directorcontrol
    since 08/2018 · owns less than 5%
  • K••••• C••••••••• F•••••• · Director, President--T•• R••••••••• C••••••••• O• A••••••control
    since 11/2020 · owns less than 5%
  • O•••••••• J•••••• M•••••• · Director Of Brokerage Operations--F•••• T•••• S••••••••• I•••control
    since 01/2020 · owns less than 5%
  • R•••••••• J•••••••• W•••••• · Directorcontrol
    since 04/2017 · owns less than 5%
  • S••••••••• D•••••• J••• · Directorcontrol
    since 12/2019 · owns less than 5%
  • S•••••• C••••••• R••• · Chief Compliance Officercontrol
    since 11/2021 · owns less than 5%
Entity owners
  • F•••• T•••• B•••• N••••••• A••••••••• · Shareholder
    direct · owns 75% or more
  • F•••• T•••• B•••••• · Shareholder
    indirect · owns 75% or more of F•••• T•••• F•••••••• C••••••••• · public reporting company
  • F•••• T•••• F•••••••• C••••••••• · Shareholder
    indirect · owns 75% or more of F•••• T•••• B•••• N••••••• A•••••••••
Related persons
Schedule D 7.A
Advisers that list T•• R••••••••• C••••••••• O• A•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
  • Cincinnati, OH
What changed
consecutive filings, newest first
  • Accounts · 1,886 to 1,950
    Nov 1, 2021 to Mar 28, 2022
  • BD registered reps · 3 to 0
    Nov 1, 2021 to Mar 28, 2022
  • HNW clients · 169 to 194
    Nov 1, 2021 to Mar 28, 2022
  • Individual clients · 671 to 652
    Nov 1, 2021 to Mar 28, 2022
  • State-registered IARs · 5 to 4
    Nov 1, 2021 to Mar 28, 2022
  • Discretionary RAUM · $552M to $609M
    Nov 1, 2021 to Mar 28, 2022
  • HNW RAUM · $345M to $417M
    Nov 1, 2021 to Mar 28, 2022
  • Individual RAUM · $223M to $214M
    Nov 1, 2021 to Mar 28, 2022
  • Non-discretionary RAUM · $16.8M to $22.7M
    Nov 1, 2021 to Mar 28, 2022
  • RAUM · $569M to $632M
    Nov 1, 2021 to Mar 28, 2022
  • Accounts · 1,836 to 1,886
    Dec 17, 2020 to Mar 24, 2021
  • Advisory employees · 6 to 3
    Dec 17, 2020 to Mar 24, 2021
  • BD registered reps · 4 to 3
    Dec 17, 2020 to Mar 24, 2021
  • HNW clients · 156 to 169
    Dec 17, 2020 to Mar 24, 2021
  • Individual clients · 670 to 671
    Dec 17, 2020 to Mar 24, 2021
  • Employees · 12 to 7
    Dec 17, 2020 to Mar 24, 2021
  • State-registered IARs · 7 to 5
    Dec 17, 2020 to Mar 24, 2021
  • Discretionary RAUM · $507M to $552M
    Dec 17, 2020 to Mar 24, 2021
  • HNW RAUM · $307M to $345M
    Dec 17, 2020 to Mar 24, 2021
  • Individual RAUM · $214M to $223M
    Dec 17, 2020 to Mar 24, 2021
  • Non-discretionary RAUM · $15.9M to $16.8M
    Dec 17, 2020 to Mar 24, 2021
  • RAUM · $522M to $569M
    Dec 17, 2020 to Mar 24, 2021
  • Accounts · 1,810 to 1,836
    Jan 9, 2020 to Mar 25, 2020
  • Advisory employees · 7 to 6
    Jan 9, 2020 to Mar 25, 2020
  • BD registered reps · 0 to 4
    Jan 9, 2020 to Mar 25, 2020
  • HNW clients · 131 to 156
    Jan 9, 2020 to Mar 25, 2020
  • Individual clients · 691 to 670
    Jan 9, 2020 to Mar 25, 2020
  • Pension plan clients · 7.0 to unset
    Jan 9, 2020 to Mar 25, 2020
  • Employees · 15 to 12
    Jan 9, 2020 to Mar 25, 2020
  • State-registered IARs · 5 to 7
    Jan 9, 2020 to Mar 25, 2020
  • Other offices · 0 to 1
    Jan 9, 2020 to Mar 25, 2020
  • Discretionary RAUM · $456M to $507M
    Jan 9, 2020 to Mar 25, 2020
  • HNW RAUM · $238M to $307M
    Jan 9, 2020 to Mar 25, 2020
  • Individual RAUM · $201M to $214M
    Jan 9, 2020 to Mar 25, 2020
  • Non-discretionary RAUM · $11.4M to $15.9M
    Jan 9, 2020 to Mar 25, 2020
  • Pension RAUM · 26709463.0 to unset
    Jan 9, 2020 to Mar 25, 2020
  • RAUM · $467M to $522M
    Jan 9, 2020 to Mar 25, 2020
  • Accounts · 1,805 to 1,810
    Nov 16, 2018 to Mar 26, 2019
  • HNW clients · 143 to 131
    Nov 16, 2018 to Mar 26, 2019
  • Individual clients · 677 to 691
    Nov 16, 2018 to Mar 26, 2019
Signals
13 dated events
  • C•••••• R••• S••••• left T•• R••••••••• C••••••••• O• A•••••• for M••••••••• A••••••• (registered 2021-10-04)
    Aug 2, 2022 · Advisor changed firm · fact
  • Rose Cynthia Stroik (Chief Compliance Officer) appeared on Schedule A of T•• R••••••••• C••••••••• O• A••••••
    Nov 1, 2021 · Control person joined · fact
  • Jean Diane Hulls (Chief Compliance Officer) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2021-03-24, absent 2021-11-01)
    Nov 1, 2021 · Control person left · inference
  • Phillip Edward Finlay (Head Of Manager Research) appeared on Schedule A of T•• R••••••••• C••••••••• O• A••••••
    Nov 10, 2020 · Control person joined · fact
  • Timothy Michael Collins (Director, President--Retirement Corporation Of America) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2020-06-26, absent 2020-11-10)
    Nov 10, 2020 · Control person left · inference
  • Olivier Lionel Bey (Chief Investment Officer) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2020-06-26, absent 2020-11-10)
    Nov 10, 2020 · Control person left · inference
  • Albert Robert Corsarie (Director) appeared on Schedule A of T•• R••••••••• C••••••••• O• A••••••
    Jun 9, 2020 · Control person joined · fact
  • Howard Hammond (Director) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2020-03-25, absent 2020-06-09)
    Jun 9, 2020 · Control person left · inference
  • Brady Gerald Coogan (Director) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2019-11-18, absent 2020-01-09)
    Jan 9, 2020 · Control person left · inference
  • Daryl Brian Lamb (Director) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2019-11-18, absent 2020-01-09)
    Jan 9, 2020 · Control person left · inference
  • Michelle Ginger Kelly (Director) appeared on Schedule A of T•• R••••••••• C••••••••• O• A••••••
    Jan 9, 2020 · Control person joined · fact
  • John Daniel Stipanovich (Director) appeared on Schedule A of T•• R••••••••• C••••••••• O• A••••••
    Jan 9, 2020 · Control person joined · fact
  • Anne Elizabeth Schlehr (Chief Operating Officer) no longer on Schedule A of T•• R••••••••• C••••••••• O• A•••••• (listed 2019-03-26, absent 2019-11-18)
    Nov 18, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered adviserderiveda 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