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.
SEC-registered adviser
Frazier Financial Advisors, LLC
Latest filing Jul 8, 2026
First filing on the tape Dec 8, 2011 · 39 filings
SEC status approved since Oct 23, 1995
RAUM
$1.2B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
94%
$1.1B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
20
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$1.2B as of Jul 8, 2026
Jan 24, 2012$90.6M then
HNW client RAUM$922M as of Jul 8, 2026
Mar 22, 2018$162M then
State-registered IARs (5.B.3)12 as of Jul 8, 2026
Jan 24, 20120 then
Employees (5.A)20 as of Jul 8, 2026
Mar 20, 20136 then
Private funds: no history
RAUM +25% over the last fiscal year+23% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Jul 8, 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
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $281,529derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 11.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $263M, 418 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
- 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
- High-net-worth individuals$922M83%
- Individuals$171M15%
- Pension and profit-sharing plans$22.1M2.0%
- Banks and thrifts$103,6350.0%
- Corporations and businesses$83,6150.0%
- Individual clients
- 424reported
- HNW clients
- 300reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 4,115reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $263M for 418 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=8.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Joshua James Frazier | Columbus, Oh | Jun 24, 2011 | 19 y | 0 |
| Jane Marie Callahan | Columbus, Oh | Jun 24, 2011 | 33 y | 0 |
| Benjamin Monroe FoorCertified Financial Planner | Columbus, Oh | Feb 13, 2015 | 13 y | 0 |
| Brian Timothy HoutsCertified Financial Planner | Columbus, Oh | Apr 30, 2018 | 15 y | 1 |
| Emily Snyder WilcherCertified Financial Planner | Columbus, Oh | Mar 3, 2021 | 11 y | 0 |
| Madeline KeeganCertified Financial Planner | Columbus, Oh | Apr 28, 2023 | 11 y | 4 |
| Annalisa Christina SporrongCertified Financial Planner | Columbus, Oh | Dec 19, 2023 | 24 y | 0 |
| Austin Jarrett NealCertified Financial Planner | Columbus, Oh | Jun 13, 2024 | 11 y | 1 |
| Logan Douglas HogrefeCertified Financial Planner | Columbus, Oh | Oct 11, 2024 | 11 y | 0 |
| Victor Thomas ShottCertified Financial Planner | Columbus, Oh | Oct 29, 2024 | 10 y | 0 |
| Colin WhiteChartered Financial Analyst | Columbus, Oh | Sep 12, 2025 | 12 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount2 left over 36 months
Left, latest
- Leo Kleban to Raymond James & Associates, Inc.Jun 15, 2026 · RIA to affiliated broker-dealer or bank
- David Nathan Owen to Shipwright AdvisorsDec 5, 2023 · RIA to a state-registered adviser
Joined, latest
- Austin Jarrett Neal from Cambridge Investment Research Advisors, Inc.Jun 13, 2024 · Affiliated broker-dealer or bank to independent RIA
- Madeline Keegan from Minerva Wealth Planning, LLCApr 28, 2023 · Other
- David Nathan Owen from Equitable Advisors, LLCApr 25, 2022 · Affiliated broker-dealer or bank to independent RIA
- Brian Timothy Houts from Pnc Wealth ManagementApr 30, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Monroe Benjamin Foor · Chief Compliance Officercontrolsince 07/2018 · owns 10% to 25%
- Arthur James Frazier · Chairman Of The Boardcontrolsince 10/1995 · owns 5% to 10%
- James Joshua Frazier · Chief Executive Officercontrolsince 01/2016 · owns 25% to 50%
- Corey Andrew Gephart · Chief Financial Officercontrolsince 01/2016 · owns 10% to 25%
- Timothy Brian Houts · Chief Planning Officercontrolsince 01/2021 · owns 25% to 50%
- Madeline Keegan · Chief Operations Officercontrolsince 01/2025 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 11 | 0 | 1 | ||
| Burlington, Vt | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 8, 2026Keegan, Madeline (CHIEF OPERATIONS OFFICER) appeared on Schedule A between the filings of 2021-03-04 and 2026-07-08peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 8, 2026FRAZIER, JAMES, ARTHUR (CHAIRMAN OF THE BOARD) left Schedule A between the filings of 2021-03-04 and 2026-07-08peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 3,751 to 4,115Jul 29, 2025 to Mar 30, 2026
- Advisory employees · 16 to 15Jul 29, 2025 to Mar 30, 2026
- BD registered reps · 9 to 8Jul 29, 2025 to Mar 30, 2026
- Corporate clients · 0 to 1Jul 29, 2025 to Mar 30, 2026
- HNW clients · 240 to 300Jul 29, 2025 to Mar 30, 2026
- Individual clients · 435 to 424Jul 29, 2025 to Mar 30, 2026
- Pension plan clients · 0 to 6Jul 29, 2025 to Mar 30, 2026
- Assets in custody · $213M to $263MJul 29, 2025 to Mar 30, 2026
- Employees · 19 to 20Jul 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $806M to $1.1BJul 29, 2025 to Mar 30, 2026
- HNW RAUM · $714M to $922MJul 29, 2025 to Mar 30, 2026
- Individual RAUM · $178M to $171MJul 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $124M to $76.5MJul 29, 2025 to Mar 30, 2026
- Pension RAUM · $0 to $22.1MJul 29, 2025 to Mar 30, 2026
- RAUM · $930M to $1.2BJul 29, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Mar 13, 2025 to Jul 29, 2025
- Accounts · 3,359 to 3,751Dec 12, 2024 to Mar 13, 2025
- Advisory employees · 14 to 16Dec 12, 2024 to Mar 13, 2025
- BD registered reps · 8 to 9Dec 12, 2024 to Mar 13, 2025
- HNW clients · 202 to 240Dec 12, 2024 to Mar 13, 2025
- Individual clients · 463 to 435Dec 12, 2024 to Mar 13, 2025
- Assets in custody · $170M to $213MDec 12, 2024 to Mar 13, 2025
- Employees · 16 to 19Dec 12, 2024 to Mar 13, 2025
- State-registered IARs · 8 to 12Dec 12, 2024 to Mar 13, 2025
- Discretionary RAUM · $670M to $806MDec 12, 2024 to Mar 13, 2025
- HNW RAUM · $572M to $714MDec 12, 2024 to Mar 13, 2025
- Individual RAUM · $161M to $178MDec 12, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $97.9M to $124MDec 12, 2024 to Mar 13, 2025
- RAUM · $768M to $930MDec 12, 2024 to Mar 13, 2025
- Accounts · 2,819 to 3,359Mar 3, 2023 to Mar 7, 2024
- Advisory employees · 11 to 14Mar 3, 2023 to Mar 7, 2024
- BD registered reps · 9 to 8Mar 3, 2023 to Mar 7, 2024
- HNW clients · 163 to 202Mar 3, 2023 to Mar 7, 2024
- Individual clients · 363 to 463Mar 3, 2023 to Mar 7, 2024
- Assets in custody · $190M to $170MMar 3, 2023 to Mar 7, 2024
- Employees · 14 to 16Mar 3, 2023 to Mar 7, 2024
- Other offices · 1 to 0Mar 3, 2023 to Mar 7, 2024
- Discretionary RAUM · $542M to $670MMar 3, 2023 to Mar 7, 2024
- HNW RAUM · $447M to $572MMar 3, 2023 to Mar 7, 2024
- Individual RAUM · $144M to $161MMar 3, 2023 to Mar 7, 2024
Signals
4 dated events
- Leo Kleban left Frazier Financial Advisors, Llc for Raymond James & Associates, Inc. (registered 2026-09-03)Jun 15, 2026 · Advisor changed firm · fact
- David Nathan Owen left Frazier Financial Advisors, Llc for Shipwright Advisors (registered 2024-04-10)Dec 5, 2023 · Advisor changed firm · fact
- Frazier Financial Advisors, Llc reported RAUM $477.2M, up 27% from $374.9M (2020-12-09 to 2021-03-04)Mar 4, 2021 · RAUM change · derived
- Timothy Brian Houts (Chief Planning Officer) appeared on Schedule A of Frazier Financial Advisors, LlcMar 4, 2021 · 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
- Firm profile
- linkedin.com/company/ffadublinohreportedpublic record, Form ADV, Sep 17, 2026
- Website
- FRAZIERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-793-8297reportedpublic record, Form ADV, Jul 8, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026