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

D•••••• • A••••••••• I••

Former SEC-registered adviserColumbus, OhioCRD 106760SEC 801-42489IAPD
Latest filing Jan 7, 2020
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$403M
reported, Item 5.F
Discretionary
12%
of RAUM
Private clients
10%
$41.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
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$403M as of Mar 30, 2019
Mar 30, 2012$293M then
HNW client RAUM$23.6M as of Mar 30, 2019
Mar 31, 2018$19.3M then
State-registered IARs (5.B.3)0 as of Mar 30, 2019
Mar 30, 20120 then
Employees (5.A)3 as of Mar 30, 2019
Apr 1, 20133 then
Private funds: no history
RAUM -3.8% over the last fiscal year+4.5% a year over threeIARs 2 to 0offices 1 to 0
Practice profile
derived from the filing of Jan 7, 2020; 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
$1.8MderivedHNW RAUM over HNW clients
Average account
$2.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
12%derivedof RAUM
Institutional
90%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
-3.8%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
+12%derived
Compensation
percentage of assetsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$362M90%
  • High-net-worth individuals$23.6M5.9%
  • Individuals$18.1M4.5%
Individual clients
81reported
HNW clients
13reported
Pension plan clients
5reported
Charitable clients
n/areported
Accounts
169reported
Financial planning clients
11-25reported
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
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
      • D••••••• D•••• F•••••••• · Presidentcontrol
        since 08/1997 · owns 75% or more
      • D••••••• T•••••• M•••• · Vice President And Chief Compliance Officercontrol
        since 08/1997 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Columbus, Oh · principal000
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Mar 30, 2019 to Jan 7, 2020
      • Accounts · 158 to 169
        Mar 31, 2018 to Mar 30, 2019
      • Individual clients · 71 to 81
        Mar 31, 2018 to Mar 30, 2019
      • State-registered IARs · 2 to 0
        Mar 31, 2018 to Mar 30, 2019
      • Discretionary RAUM · $40.3M to $47.9M
        Mar 31, 2018 to Mar 30, 2019
      • HNW RAUM · $19.3M to $23.6M
        Mar 31, 2018 to Mar 30, 2019
      • Individual RAUM · $19.3M to $18.1M
        Mar 31, 2018 to Mar 30, 2019
      • Non-discretionary RAUM · $379M to $355M
        Mar 31, 2018 to Mar 30, 2019
      • Pension RAUM · $380M to $362M
        Mar 31, 2018 to Mar 30, 2019
      • RAUM · $419M to $403M
        Mar 31, 2018 to Mar 30, 2019
      • Accounts · 141 to 158
        Mar 30, 2017 to Mar 31, 2018
      • HNW clients · unset to 13.0
        Mar 30, 2017 to Mar 31, 2018
      • Individual clients · unset to 71.0
        Mar 30, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 5.0
        Mar 30, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Mar 30, 2017 to Mar 31, 2018
      • Discretionary RAUM · $31.2M to $40.3M
        Mar 30, 2017 to Mar 31, 2018
      • HNW RAUM · unset to 19331636.0
        Mar 30, 2017 to Mar 31, 2018
      • Individual RAUM · unset to 19298889.0
        Mar 30, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $340M to $379M
        Mar 30, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 380348054.0
        Mar 30, 2017 to Mar 31, 2018
      • RAUM · $371M to $419M
        Mar 30, 2017 to Mar 31, 2018
      • Financial planning clients · 1-10 to 11-25
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $29.7M to $31.2M
        Mar 29, 2016 to Mar 30, 2017
      • Non-discretionary RAUM · $323M to $340M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $353M to $371M
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 136 to 141
        Mar 31, 2015 to Mar 29, 2016
      • Advisory activities · 5 to 4
        Mar 31, 2015 to Mar 29, 2016
      • State-registered IARs · 1 to 2
        Mar 31, 2015 to Mar 29, 2016
      • Discretionary RAUM · $29.2M to $29.7M
        Mar 31, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $331M to $323M
        Mar 31, 2015 to Mar 29, 2016
      • RAUM · $361M to $353M
        Mar 31, 2015 to Mar 29, 2016
      • Accounts · 138 to 136
        Mar 31, 2014 to Mar 31, 2015
      • Financial planning clients · 11-25 to 1-10
        Mar 31, 2014 to Mar 31, 2015
      • State-registered IARs · 0 to 1
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · $14.3M to $29.2M
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $326M to $331M
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · $340M to $361M
        Mar 31, 2014 to Mar 31, 2015
      • Accounts · 132 to 138
        Apr 1, 2013 to Mar 31, 2014
      • Financial planning clients · 26-50 to 11-25
        Apr 1, 2013 to Mar 31, 2014
      • Discretionary RAUM · $11.3M to $14.3M
        Apr 1, 2013 to Mar 31, 2014
      Signals
      3 dated events
      • D••• F•••••••• D•••••• left D•••••• • A••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-23)
        Feb 6, 2025 · Advisor changed firm · fact
      • T••••• D•••••• left D•••••• • A••••••••• I•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2025-01-23)
        Feb 6, 2025 · Advisor changed firm · fact
      • 2 advisors left D•••••• • A••••••••• I•• (Columbus, OH) for W••••• E••••••••• A••••••• S•••••••• L•• on the same day
        Feb 6, 2025 · Team lift-out · derived
      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