DFX Intelligence

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M•••• F•••••••• I••

Independent wealth managerSEC-registered· Cincinnati, Ohiowebsite

Independent wealth manager, based in Cincinnati, Ohio, reporting $131M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $131M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +7.7%
Private clients: 74%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $121M to $131M (+7.7%) on the Form ADV filed 27 Mar 2026, while advisors on the filing held at 3.

Every filed figure, and the identifiersCRD 106689 · SEC 801-48232 · 19 filingsShow

CRD 106689SEC 801-48232First filing on the tape Mar 26, 2012, latest Mar 27, 2026SEC status approved since Jan 17, 1995IAPD

RAUM

$131M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

74%

$96.9M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$43.5M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM -1.3% a year over three years · the tape starts Mar 26, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$131M as of Mar 27, 2026

Mar 26, 2012$187M then

HNW client RAUM$82.4M as of Mar 27, 2026

Mar 28, 2018$156M then

State-registered IARs (5.B.3)3 as of Mar 27, 2026

Mar 26, 20120 then

Employees (5.A)4 as of Mar 27, 2026

Mar 25, 20135 then

Private funds: no history

RAUM +7.7% over the last fiscal year-1.3% a year over threeIARs 3 to 3

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $43.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 58derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.0MderivedHNW RAUM over HNW clients
Average account: $713,533derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +7.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.6%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

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

63% high-net-worth individuals, 19% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$82.4M63%
Charitable organizations$24.2M19%
Individuals$14.5M11%
Corporations and businesses$7.1M5.4%
Pension and profit-sharing plans$2.4M1.8%

Individual clients: 93reported
HNW clients: 82reported
Pension plan clients: 2reported
Charitable clients: 3reported
Accounts: 183reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 74% private clients, 0% pooled funds, 20% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
T••••• S•••••• M••••	Cincinnati, Oh	Jan 14, 2003	32 y
A••••• E•••••••• M••••	Cincinnati, Oh	Aug 25, 2011	18 y
T•••• S• H•••	Cincinnati, Oh	Jul 30, 2019	21 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••• T•••••• S•••••• · Chief Compliance Officer; Chief Executive Officer; Chief Financial Office; Chief Operations Officer; Chief Legal Officercontrol
since 12/1994 · owns 75% or more

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
Cincinnati, Oh · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 184 to 183
Mar 21, 2025 to Mar 27, 2026
HNW clients · 80 to 82
Mar 21, 2025 to Mar 27, 2026
Individual clients · 96 to 93
Mar 21, 2025 to Mar 27, 2026
Discretionary RAUM · $121M to $131M
Mar 21, 2025 to Mar 27, 2026
HNW RAUM · $77.9M to $82.4M
Mar 21, 2025 to Mar 27, 2026

Full history · 80 changes

Individual RAUM · $12.7M to $14.5M
Mar 21, 2025 to Mar 27, 2026
Pension RAUM · $2.0M to $2.4M
Mar 21, 2025 to Mar 27, 2026
RAUM · $121M to $131M
Mar 21, 2025 to Mar 27, 2026
Accounts · 236 to 184
Oct 29, 2024 to Mar 21, 2025
Advisory activities · 3 to 2
Oct 29, 2024 to Mar 21, 2025
Charity clients · 5 to 3
Oct 29, 2024 to Mar 21, 2025
HNW clients · 106 to 80
Oct 29, 2024 to Mar 21, 2025
Individual clients · 119 to 96
Oct 29, 2024 to Mar 21, 2025
Pension plan clients · 3 to 2
Oct 29, 2024 to Mar 21, 2025
Financial planning clients · unset to
Oct 29, 2024 to Mar 21, 2025
Discretionary RAUM · $127M to $121M
Oct 29, 2024 to Mar 21, 2025
HNW RAUM · $81.2M to $77.9M
Oct 29, 2024 to Mar 21, 2025
Individual RAUM · $15.9M to $12.7M
Oct 29, 2024 to Mar 21, 2025
Pension RAUM · $3.8M to $2.0M
Oct 29, 2024 to Mar 21, 2025
RAUM · $127M to $121M
Oct 29, 2024 to Mar 21, 2025
Wrap assets (manager) · 15182295.0 to unset
Mar 25, 2024 to Oct 29, 2024
Wrap assets (sponsor) · 0.0 to unset
Mar 25, 2024 to Oct 29, 2024
Accounts · 298 to 236
Jun 1, 2023 to Mar 25, 2024
HNW clients · 138 to 106
Jun 1, 2023 to Mar 25, 2024
Individual clients · 149 to 119
Jun 1, 2023 to Mar 25, 2024
Discretionary RAUM · $136M to $127M
Jun 1, 2023 to Mar 25, 2024
HNW RAUM · $87.6M to $81.2M
Jun 1, 2023 to Mar 25, 2024
Individual RAUM · $21.3M to $15.9M
Jun 1, 2023 to Mar 25, 2024
Pension RAUM · $3.5M to $3.8M
Jun 1, 2023 to Mar 25, 2024
RAUM · $136M to $127M
Jun 1, 2023 to Mar 25, 2024
Wrap assets (manager) · $15.8M to $15.2M
Jun 1, 2023 to Mar 25, 2024
Accounts · 319 to 298
Mar 23, 2022 to Mar 28, 2023
Charity clients · 6 to 5
Mar 23, 2022 to Mar 28, 2023
Corporate clients · 5 to 3
Mar 23, 2022 to Mar 28, 2023
HNW clients · 146 to 138
Mar 23, 2022 to Mar 28, 2023
Individual clients · 159 to 149
Mar 23, 2022 to Mar 28, 2023
State-registered IARs · 2 to 3
Mar 23, 2022 to Mar 28, 2023
Discretionary RAUM · $187M to $136M
Mar 23, 2022 to Mar 28, 2023
HNW RAUM · $37.5M to $87.6M
Mar 23, 2022 to Mar 28, 2023
Individual RAUM · $115M to $21.3M
Mar 23, 2022 to Mar 28, 2023
Pension RAUM · $5.2M to $3.5M
Mar 23, 2022 to Mar 28, 2023
RAUM · $187M to $136M
Mar 23, 2022 to Mar 28, 2023
Wrap assets (manager) · $20.7M to $15.8M
Mar 23, 2022 to Mar 28, 2023
Accounts · 405 to 319
Mar 30, 2021 to Mar 23, 2022
Corporate clients · 6 to 5
Mar 30, 2021 to Mar 23, 2022
HNW clients · 202 to 146
Mar 30, 2021 to Mar 23, 2022
Individual clients · 186 to 159
Mar 30, 2021 to Mar 23, 2022
Pension plan clients · 5 to 3
Mar 30, 2021 to Mar 23, 2022
Discretionary RAUM · $194M to $187M
Mar 30, 2021 to Mar 23, 2022
HNW RAUM · $118M to $37.5M
Mar 30, 2021 to Mar 23, 2022
Individual RAUM · $44.0M to $115M
Mar 30, 2021 to Mar 23, 2022
Pension RAUM · $5.8M to $5.2M
Mar 30, 2021 to Mar 23, 2022
RAUM · $194M to $187M
Mar 30, 2021 to Mar 23, 2022
Wrap assets (manager) · $21.5M to $20.7M
Mar 30, 2021 to Mar 23, 2022
Accounts · 495 to 405
Jun 24, 2020 to Mar 30, 2021
Charity clients · 7 to 6
Jun 24, 2020 to Mar 30, 2021
Corporate clients · 5 to 6
Jun 24, 2020 to Mar 30, 2021
HNW clients · 248 to 202
Jun 24, 2020 to Mar 30, 2021
Individual clients · 223 to 186
Jun 24, 2020 to Mar 30, 2021
Pension plan clients · 12 to 5
Jun 24, 2020 to Mar 30, 2021
Employees · 5 to 4
Jun 24, 2020 to Mar 30, 2021
Discretionary RAUM · $222M to $194M
Jun 24, 2020 to Mar 30, 2021
HNW RAUM · $138M to $118M
Jun 24, 2020 to Mar 30, 2021
Individual RAUM · $50.5M to $44.0M
Jun 24, 2020 to Mar 30, 2021
Pension RAUM · $9.5M to $5.8M
Jun 24, 2020 to Mar 30, 2021
RAUM · $222M to $194M
Jun 24, 2020 to Mar 30, 2021
Wrap assets (manager) · $21.7M to $21.5M
Jun 24, 2020 to Mar 30, 2021
Accounts · 511 to 495
Mar 28, 2019 to Mar 29, 2020
HNW clients · 260 to 248
Mar 28, 2019 to Mar 29, 2020
Individual clients · 226 to 223
Mar 28, 2019 to Mar 29, 2020
Pension plan clients · 13 to 12
Mar 28, 2019 to Mar 29, 2020
Discretionary RAUM · $201M to $222M
Mar 28, 2019 to Mar 29, 2020
HNW RAUM · $129M to $138M
Mar 28, 2019 to Mar 29, 2020
Individual RAUM · $41.3M to $50.5M
Mar 28, 2019 to Mar 29, 2020
Pension RAUM · $8.5M to $9.5M
Mar 28, 2019 to Mar 29, 2020
RAUM · $201M to $222M
Mar 28, 2019 to Mar 29, 2020
Wrap assets (manager) · $19.4M to $21.7M
Mar 28, 2019 to Mar 29, 2020
Accounts · 550 to 511
Mar 28, 2018 to Mar 28, 2019
Charity clients · 8 to 7
Mar 28, 2018 to Mar 28, 2019
HNW clients · 279 to 260
Mar 28, 2018 to Mar 28, 2019

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.

How to reach

public business contact points only, each with its source

Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $43.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026