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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

D••••• F•••••••• P•••••••

Independent wealth managerColumbus, OhioCRD 106702SEC 801-136148websiteIAPD
Legal name D••••• C•••••••• E•••••
Latest filing May 12, 2026
First filing on the tape Feb 27, 2012 · 3 filings
SEC status approved since May 14, 2026
RAUM
$125M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$125M as of May 12, 2026
Feb 27, 2012$80.8M then
HNW client RAUM: $117M
State-registered IARs (5.B.3)0 as of May 12, 2026
Feb 27, 20120 then
Employees (5.A): 2
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 12, 2026; 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
$4.2MderivedHNW RAUM over HNW clients
Average account
$659,602derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 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
  • 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$117M94%
  • Individuals$8.1M6.5%
Individual clients
10reported
HNW clients
28reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
190reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• C•••••• E••••• · Owner; President; Chief Compliance Officercontrol
        since 07/1994 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing May 12, 2026
        selection of other advisers (Item 5.G.7): yes on the filing of 2012-05-18, no on the filing of 2026-05-12
        peers: independent wealth managers, $100M to $500M (5,678)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 363 to 190
        May 18, 2012 to May 12, 2026
      • Advisory employees · unset to 1.0
        May 18, 2012 to May 12, 2026
      • Advisory activities · 3 to 2
        May 18, 2012 to May 12, 2026
      • HNW clients · unset to 28.0
        May 18, 2012 to May 12, 2026
      • Individual clients · unset to 10.0
        May 18, 2012 to May 12, 2026
      • Employees · unset to 2.0
        May 18, 2012 to May 12, 2026
      • Financial planning clients · 26-50 to 26-50
        May 18, 2012 to May 12, 2026
      • Other offices · unset to 0.0
        May 18, 2012 to May 12, 2026
      • Discretionary RAUM · $64.4M to $125M
        May 18, 2012 to May 12, 2026
      • HNW RAUM · unset to 117204238.0
        May 18, 2012 to May 12, 2026
      • Individual RAUM · unset to 8120177.0
        May 18, 2012 to May 12, 2026
      • Non-discretionary RAUM · $16.4M to $0
        May 18, 2012 to May 12, 2026
      • RAUM · $80.8M to $125M
        May 18, 2012 to May 12, 2026
      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
      Principal office phone
      614-451-4505reportedpublic record, Form ADV, May 12, 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
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026