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
Pds Planning Inc
Latest filing Mar 19, 2026
First filing on the tape Mar 29, 2012 · 34 filings
SEC status approved since Oct 13, 1988
RAUM
$2.2B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
96%
$2.1B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$217M
derived; firm RAUM over IAPD count
Employees
19
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$2.2B as of Mar 19, 2026
May 2, 2012$548M then
HNW client RAUM$2.0B as of Mar 19, 2026
Mar 28, 2018$393M then
State-registered IARs (5.B.3)9 as of Mar 19, 2026
May 2, 20120 then
Employees (5.A)19 as of Mar 19, 2026
Apr 5, 201313 then
Private funds: no history
RAUM +21% over the last fiscal year+28% a year over threeIARs 7 to 9
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $217MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.7MderivedHNW RAUM over HNW clients
- Average account
- $686,070derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$2.0B91%
- Individuals$109M5.0%
- Charitable organizations$81.5M3.8%
- Individual clients
- 186reported
- HNW clients
- 421reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 3,159reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Dale HamiltonCertified Financial Planner | Columbus, Oh | Jan 7, 2005 | 42 y | 1 |
| James Morton Hamilton | Dublin, Oh | Jan 7, 2005 | 33 y | 1 |
| Jamie Paul MengesCertified Financial Planner | Dublin, Oh | Mar 6, 2013 | 25 y | 3 |
| Kurt M BrownChartered Financial Analyst | Dublin, Oh | Jul 15, 2013 | 16 y | 0 |
| Rita M Itsell | Dublin, Oh | Feb 28, 2014 | 23 y | 0 |
| Laurie Ann LicataCertified Financial Planner | Dublin, Oh | Sep 3, 2019 | 18 y | 0 |
| James Andrew RogersCertified Financial Planner | Dublin, Oh | Feb 4, 2020 | 21 y | 4 |
| Kyle Edward Euton | Dublin, Oh | Jul 2, 2021 | 11 y | 0 |
| Andrew Michael PotoskyCertified Financial Planner | Dublin, Oh | Mar 27, 2023 | 10 y | 0 |
| Tad Alan HerringtonCertified Financial Planner | Dublin, Oh | Oct 10, 2025 | 12 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Dean Arthur Schuler to Schuler Wealth Planning LLCMay 3, 2022 · RIA to a state-registered adviser
- Thomas Dean Ellison to J.P. Morgan Securities LLCSep 30, 2020 · RIA to wirehouse
- Kristen Elisabeth Moosmiller to Partnership Financial, LLCApr 22, 2015 · Other
Joined, latest
- Tad Alan Herrington from Graver Capital Management, LLCOct 10, 2025 · RIA to RIA
- James Andrew Rogers from Fisher InvestmentsFeb 4, 2020 · RIA to RIA
- Thomas Dean Ellison from J.P. Morgan Securities LLCOct 5, 2016 · Other
- Dean Arthur Schuler from MML Investors Services, LLCFeb 23, 2015 · Other
- Jamie Paul Menges from Rea Wealth ManagementMar 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M Kurt Brown · Secretary-Treasurer, Chief Compliance Officer, Chief Investment Officercontrolsince 09/2017 · owns 25% to 50%
- M Rita Itsell · Vice-Presidentcontrolsince 01/2014 · owns 10% to 25%
- Paul Jamie Menges · Presidentcontrolsince 09/2017 · owns 25% to 50%
- Andrew James Rogers · Assistant Secretary-Treasurercontrolsince 01/2022 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 9 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3,320 to 3,159Mar 25, 2025 to Mar 19, 2026
- Advisory employees · 11 to 12Mar 25, 2025 to Mar 19, 2026
- HNW clients · 383 to 421Mar 25, 2025 to Mar 19, 2026
- Individual clients · 217 to 186Mar 25, 2025 to Mar 19, 2026
- Assets in custody · $559M to $765MMar 25, 2025 to Mar 19, 2026
- Employees · 17 to 19Mar 25, 2025 to Mar 19, 2026
- State-registered IARs · 7 to 9Mar 25, 2025 to Mar 19, 2026
- Discretionary RAUM · $1.7B to $2.1BMar 25, 2025 to Mar 19, 2026
- HNW RAUM · $1.6B to $2.0BMar 25, 2025 to Mar 19, 2026
- Individual RAUM · $135M to $109MMar 25, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $57.2M to $48.8MMar 25, 2025 to Mar 19, 2026
- RAUM · $1.8B to $2.2BMar 25, 2025 to Mar 19, 2026
- Accounts · 3,082 to 3,320Mar 28, 2024 to Mar 25, 2025
- Charity clients · 6 to 7Mar 28, 2024 to Mar 25, 2025
- HNW clients · 345 to 383Mar 28, 2024 to Mar 25, 2025
- Individual clients · 248 to 217Mar 28, 2024 to Mar 25, 2025
- Assets in custody · $388M to $559MMar 28, 2024 to Mar 25, 2025
- Employees · 16 to 17Mar 28, 2024 to Mar 25, 2025
- Financial planning clients · 251-500 to 251-500Mar 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $1.3B to $1.7BMar 28, 2024 to Mar 25, 2025
- HNW RAUM · $1.2B to $1.6BMar 28, 2024 to Mar 25, 2025
- Individual RAUM · $125M to $135MMar 28, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $60.5M to $57.2MMar 28, 2024 to Mar 25, 2025
- Pension RAUM · 12371900.0 to unsetMar 28, 2024 to Mar 25, 2025
- RAUM · $1.4B to $1.8BMar 28, 2024 to Mar 25, 2025
- Accounts · 2,850 to 3,082Nov 16, 2023 to Mar 28, 2024
- Charity clients · 5 to 6Nov 16, 2023 to Mar 28, 2024
- HNW clients · 305 to 345Nov 16, 2023 to Mar 28, 2024
- Individual clients · 280 to 248Nov 16, 2023 to Mar 28, 2024
- Assets in custody · $307M to $388MNov 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $981M to $1.3BNov 16, 2023 to Mar 28, 2024
- HNW RAUM · $853M to $1.2BNov 16, 2023 to Mar 28, 2024
- Individual RAUM · $133M to $125MNov 16, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $64.4M to $60.5MNov 16, 2023 to Mar 28, 2024
- Pension RAUM · $15.2M to $12.4MNov 16, 2023 to Mar 28, 2024
- RAUM · $1.0B to $1.4BNov 16, 2023 to Mar 28, 2024
- Accounts · 2,908 to 2,850Apr 18, 2022 to Mar 27, 2023
- Charity clients · unset to 5.0Apr 18, 2022 to Mar 27, 2023
- HNW clients · 301 to 305Apr 18, 2022 to Mar 27, 2023
- Individual clients · 291 to 280Apr 18, 2022 to Mar 27, 2023
Signals
5 dated events
- Pds Planning Inc reported RAUM $1.8B, up 29% from $1.4B (2024-03-28 to 2025-03-25)Mar 25, 2025 · RAUM change · derived
- Pds Planning Inc reported RAUM $1.4B, up 33% from $1.0B (2023-11-16 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Dean Arthur Schuler left Pds Planning Inc for Schuler Wealth Planning Llc (registered 2022-04-23)May 3, 2022 · Advisor changed firm · fact
- Andrew James Rogers (Assistant Secretary-Treasurer) appeared on Schedule A of Pds Planning IncMar 29, 2022 · Control person joined · fact
- Pds Planning Inc reported RAUM $941.7M, up 38% from $682.2M (2020-06-29 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
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 email
- info@pdsplanning.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-481-8449reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/PDS-PLANNING-INC-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- PDSPLANNING.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-481-8449reportedpublic record, Form ADV, Mar 19, 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
- $217Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026