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
W••••••••• I••••••••• C••••••• L••
Latest filing Apr 4, 2023
First filing on the tape Mar 30, 2012 · 19 filings
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$141M as of Mar 15, 2023
Mar 30, 2012$59.0M then
HNW client RAUM$108M as of Mar 15, 2023
Mar 22, 2019$82.7M then
State-registered IARs (5.B.3)3 as of Mar 15, 2023
Mar 30, 20120 then
Employees (5.A)3 as of Mar 15, 2023
Mar 22, 20194 then
Private funds: no history
RAUM -17% over the last fiscal year+3.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 4, 2023; every figure names its basis
- RAUM per advisor
- $46.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 154derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $681,477derivedHNW RAUM over HNW clients
- Average account
- $304,590derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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$108M77%
- Individuals$32.4M23%
- Individual clients
- 303reported
- HNW clients
- 159reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 462reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
- M••• A••• R•••••• to M•• C•••••• M••••••••• L••Mar 4, 2024 · RIA to RIA
- D•• G•••• B•••• to M•• C•••••• M••••••••• L••Mar 4, 2024 · RIA to RIA
- G•••••• S••••• J••• to W••••• W••••• M••••••••• C••••••• A• L•••••• L•••••••• C••••••Aug 30, 2023 · RIA to RIA
- B••••••• D••• J••••• to J••••• W••••• M••••••••• L••Apr 1, 2022 · RIA to a state-registered adviser
Joined, latest
- B••••••• D••• J••••• from E••••• J••••May 10, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M•• C•••••• M••••••••• L••Mar 4, 2024 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• D••• G•••• · Managing Partner/Chief Compliance Officercontrolsince 07/1995 · owns 50% to 75%
- R••••••• M•••• A••• · Managing Partnercontrolsince 05/1996 · owns 50% to 75%
Related persons
Schedule D 7.A
- M••• A• R••••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 521 to 462Mar 22, 2022 to Mar 15, 2023
- HNW clients · 161 to 159Mar 22, 2022 to Mar 15, 2023
- Discretionary RAUM · $163M to $141MMar 22, 2022 to Mar 15, 2023
- HNW RAUM · $126M to $108MMar 22, 2022 to Mar 15, 2023
- Individual RAUM · $37.8M to $32.4MMar 22, 2022 to Mar 15, 2023
- Non-discretionary RAUM · $7.5M to $170,826Mar 22, 2022 to Mar 15, 2023
- Pension RAUM · 7126691.0 to unsetMar 22, 2022 to Mar 15, 2023
- RAUM · $170M to $141MMar 22, 2022 to Mar 15, 2023
- Individual RAUM · $42.1M to $37.8MMay 19, 2021 to Mar 22, 2022
- Non-discretionary RAUM · $6.4M to $7.5MMay 19, 2021 to Mar 22, 2022
- Pension RAUM · $6.1M to $7.1MMay 19, 2021 to Mar 22, 2022
- RAUM · $145M to $170MMay 19, 2021 to Mar 22, 2022
- Accounts · 500 to 521May 19, 2021 to Mar 22, 2022
- HNW clients · 125 to 161May 19, 2021 to Mar 22, 2022
- Individual clients · 318 to 303May 19, 2021 to Mar 22, 2022
- Discretionary RAUM · $138M to $163MMay 19, 2021 to Mar 22, 2022
- HNW RAUM · $96.5M to $126MMay 19, 2021 to Mar 22, 2022
- Pension plan clients · 57 to 1Mar 11, 2021 to Mar 15, 2021
- Pension plan clients · 1.0 to unsetMar 15, 2021 to Mar 15, 2021
- Accounts · 507 to 500Jun 29, 2020 to Mar 11, 2021
- HNW clients · 120 to 125Jun 29, 2020 to Mar 11, 2021
- Individual clients · 330 to 318Jun 29, 2020 to Mar 11, 2021
- Discretionary RAUM · $124M to $138MJun 29, 2020 to Mar 11, 2021
- HNW RAUM · $88.3M to $96.5MJun 29, 2020 to Mar 11, 2021
- Individual RAUM · $35.8M to $42.1MJun 29, 2020 to Mar 11, 2021
- Non-discretionary RAUM · $4.5M to $6.4MJun 29, 2020 to Mar 11, 2021
- Pension RAUM · $4.1M to $6.1MJun 29, 2020 to Mar 11, 2021
- RAUM · $128M to $145MJun 29, 2020 to Mar 11, 2021
- Accounts · 540 to 507Nov 14, 2019 to Feb 13, 2020
- HNW clients · 88 to 120Nov 14, 2019 to Feb 13, 2020
- Individual clients · 395 to 330Nov 14, 2019 to Feb 13, 2020
- Discretionary RAUM · $115M to $124MNov 14, 2019 to Feb 13, 2020
- HNW RAUM · $42.4M to $88.3MNov 14, 2019 to Feb 13, 2020
- Individual RAUM · $73.4M to $35.8MNov 14, 2019 to Feb 13, 2020
- Non-discretionary RAUM · $4.5M to $4.5MNov 14, 2019 to Feb 13, 2020
- RAUM · $120M to $128MNov 14, 2019 to Feb 13, 2020
- Accounts · 433 to 540Mar 22, 2019 to Nov 14, 2019
- Advisory employees · 4 to 3Mar 22, 2019 to Nov 14, 2019
- Individual clients · 209 to 395Mar 22, 2019 to Nov 14, 2019
- Pension plan clients · 0 to 57Mar 22, 2019 to Nov 14, 2019
Signals
6 dated events
- D•• G•••• B•••• left W••••••••• I••••••••• C••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-01-29)Mar 4, 2024 · Advisor changed firm · fact
- M••• A••• R•••••• left W••••••••• I••••••••• C••••••• L•• for M•• C•••••• M••••••••• L•• (registered 2024-02-05)Mar 4, 2024 · Advisor changed firm · fact
- 2 advisors left W••••••••• I••••••••• C••••••• L•• (Cincinnati, OH) for M•• C•••••• M••••••••• L•• on the same dayMar 4, 2024 · Team lift-out · derived
- G•••••• S••••• J••• left W••••••••• I••••••••• C••••••• L•• for W••••• W••••• M••••••••• C••••••• A• L•••••• L•••••••• C•••••• (registered 2024-12-18)Aug 30, 2023 · Advisor changed firm · fact
- B••••••• D••• J••••• left W••••••••• I••••••••• C••••••• L•• for J••••• W••••• M••••••••• L•• (registered 2022-03-08)Apr 1, 2022 · Advisor changed firm · fact
- W••••••••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Sep 5, 2018 · First SEC registration · fact
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