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

N••••••• R••••••••• C••••••••• I••

Former SEC-registered adviserHamilton, OhioCRD 106692SEC 801-54046IAPD
Latest filing Mar 26, 2019
First filing on the tape Mar 29, 2012 · 9 filings
RAUM
$176M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$170M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$176M as of Mar 26, 2019
Mar 29, 2012$128M then
HNW client RAUM$128M as of Mar 26, 2019
Mar 29, 2018$135M then
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 29, 20120 then
Employees (5.A)4 as of Mar 26, 2019
Apr 1, 20134 then
Private funds: no history
RAUM -5.8% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$671,034derivedHNW RAUM over HNW clients
Average account
$344,550derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-4.3%derived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • High-net-worth individuals$128M73%
  • Individuals$41.8M24%
  • State and municipal entities$6.4M3.7%
Individual clients
317reported
HNW clients
191reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
512reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
none on the tape
    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
      • G••••• W••••••• A••••• · Chief Compliance Officercontrol
        since 03/1997 · owns 75% or more
      Related persons
      Schedule D 7.A
      • C••••••• L••••••••
        insurancen
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 535 to 512
        Mar 29, 2018 to Mar 26, 2019
      • HNW clients · 197 to 191
        Mar 29, 2018 to Mar 26, 2019
      • Individual clients · 334 to 317
        Mar 29, 2018 to Mar 26, 2019
      • Discretionary RAUM · $187M to $176M
        Mar 29, 2018 to Mar 26, 2019
      • HNW RAUM · $135M to $128M
        Mar 29, 2018 to Mar 26, 2019
      • Individual RAUM · $45.7M to $41.8M
        Mar 29, 2018 to Mar 26, 2019
      • RAUM · $187M to $176M
        Mar 29, 2018 to Mar 26, 2019
      • Accounts · 544 to 535
        Mar 30, 2017 to Mar 29, 2018
      • HNW clients · unset to 197.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 334.0
        Mar 30, 2017 to Mar 29, 2018
      • Financial planning clients · 26-50 to 11-25
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $164M to $187M
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 134585652.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 45742562.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $164M to $187M
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 545 to 544
        Mar 29, 2016 to Mar 30, 2017
      • BD registered reps · 2 to 0
        Mar 29, 2016 to Mar 30, 2017
      • State-registered IARs · 2 to 0
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $152M to $164M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $152M to $164M
        Mar 29, 2016 to Mar 30, 2017
      • Related adviser · true to false
        Mar 29, 2016 to Mar 30, 2017
      • Related broker-dealer · true to false
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 539 to 545
        Nov 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $135M to $152M
        Nov 17, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $26.7M to $0
        Nov 17, 2015 to Mar 29, 2016
      • RAUM · $162M to $152M
        Nov 17, 2015 to Mar 29, 2016
      • Accounts · 579 to 539
        Mar 25, 2015 to Nov 17, 2015
      • Discretionary RAUM · $158M to $135M
        Mar 25, 2015 to Nov 17, 2015
      • Non-discretionary RAUM · $6.4M to $26.7M
        Mar 25, 2015 to Nov 17, 2015
      • RAUM · $165M to $162M
        Mar 25, 2015 to Nov 17, 2015
      • Accounts · 563 to 579
        Mar 20, 2014 to Mar 25, 2015
      • Discretionary RAUM · $147M to $158M
        Mar 20, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $16.0M to $6.4M
        Mar 20, 2014 to Mar 25, 2015
      • RAUM · $163M to $165M
        Mar 20, 2014 to Mar 25, 2015
      • Accounts · 288 to 563
        Apr 1, 2013 to Mar 20, 2014
      • Discretionary RAUM · $107M to $147M
        Apr 1, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $26.7M to $16.0M
        Apr 1, 2013 to Mar 20, 2014
      • RAUM · $133M to $163M
        Apr 1, 2013 to Mar 20, 2014
      • Accounts · 283 to 288
        Mar 29, 2012 to Apr 1, 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