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.

Former SEC-registered adviser

Financial Management Group Inc

Former SEC-registered adviserCincinnati, OhioCRD 106068SEC 801-44691IAPD
Latest filing Apr 30, 2015
First filing on the tape Mar 22, 2012 · 11 filings
RAUM
$355M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$355M as of Mar 28, 2015
Mar 22, 2012$189M then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Mar 28, 2015
Mar 22, 20120 then
Employees (5.A)11 as of Mar 28, 2015
Mar 27, 201311 then
Private funds: no history
RAUM +14% over the last fiscal year+23% a year over threeIARs 6 to 7
Practice profile
derived from the filing of Apr 30, 2015; every figure names its basis
RAUM per advisor
$50.7MderivedRAUM 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
$203,883derivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.6derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+17%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$27.0M, 61 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,742reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$27.0M for 61 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Norman Robert Siegmann · Chief Compliance Officer, Chief Operating Officer & Sr. Advisorcontrol
      since 06/1994 · owns less than 5%
    • Paxton Brett Wilder · President & Ceocontrol
      since 05/1989 · owns 75% or more
    • Dean David Wilder · Chief Investment Office & Sr. Advisorcontrol
      since 10/2000 · owns less than 5%
    • Joseph Robert Lemmons · Director Of Financial Planning
      since 03/2010 · owns less than 5%
    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
    • Assets in custody · unset to 27000000.0
      Mar 28, 2015 to Apr 30, 2015
    • Custody of client assets · false to true
      Mar 28, 2015 to Apr 30, 2015
    • Accounts · 280 to 1,742
      Mar 31, 2014 to Mar 28, 2015
    • Employees · 9 to 11
      Mar 31, 2014 to Mar 28, 2015
    • Financial planning clients · 101-250 to 251-500
      Mar 31, 2014 to Mar 28, 2015
    • State-registered IARs · 6 to 7
      Mar 31, 2014 to Mar 28, 2015
    • Discretionary RAUM · $248M to $292M
      Mar 31, 2014 to Mar 28, 2015
    • Non-discretionary RAUM · $64.4M to $62.8M
      Mar 31, 2014 to Mar 28, 2015
    • RAUM · $313M to $355M
      Mar 31, 2014 to Mar 28, 2015
    • Accounts · 1,506 to 280
      Oct 31, 2013 to Mar 31, 2014
    • Advisory employees · 6 to 7
      Oct 31, 2013 to Mar 31, 2014
    • Employees · 11 to 9
      Oct 31, 2013 to Mar 31, 2014
    • Discretionary RAUM · $190M to $248M
      Oct 31, 2013 to Mar 31, 2014
    • Non-discretionary RAUM · $61.7M to $64.4M
      Oct 31, 2013 to Mar 31, 2014
    • RAUM · $251M to $313M
      Oct 31, 2013 to Mar 31, 2014
    • Accounts · 948 to 1,506
      Feb 22, 2013 to Mar 27, 2013
    • Employees · 7 to 11
      Feb 22, 2013 to Mar 27, 2013
    • Financial planning clients · 1-10 to 101-250
      Feb 22, 2013 to Mar 27, 2013
    • Discretionary RAUM · $132M to $190M
      Feb 22, 2013 to Mar 27, 2013
    • Non-discretionary RAUM · $57.1M to $61.7M
      Feb 22, 2013 to Mar 27, 2013
    • RAUM · $189M to $251M
      Feb 22, 2013 to Mar 27, 2013
    • Advisory employees · unset to 6.0
      Jun 6, 2012 to Feb 22, 2013
    • Employees · unset to 7.0
      Jun 6, 2012 to Feb 22, 2013
    • State-registered IARs · 0 to 6
      Jun 6, 2012 to Feb 22, 2013
    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.
    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