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Former SEC-registered adviser

L••••••••• • J•••••••• I••

Former SEC-registered adviserCincinnati, OhioCRD 107044SEC 801-39831IAPD
Latest filing Jun 8, 2020
First filing on the tape Mar 23, 2012 · 12 filings
RAUM
$51.6M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
93%
$48.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$51.6M as of May 7, 2020
Mar 23, 2012$118M then
HNW client RAUM$45.7M as of May 7, 2020
Mar 26, 2018$39.7M then
State-registered IARs (5.B.3)1 as of May 7, 2020
Mar 23, 20120 then
Employees (5.A)4 as of May 7, 2020
Mar 25, 20134 then
Private funds: no history
RAUM -72% over the last fiscal year-33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 8, 2020; every figure names its basis
RAUM per advisor
$51.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$2.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-72%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.0%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)
  • 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
  • High-net-worth individuals$45.7M89%
  • Charitable organizations$3.6M7.1%
  • Individuals$2.3M4.4%
Individual clients
5reported
HNW clients
19reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
25reported
Financial planning clients
n/areported
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
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
      • E••••• H••••• P•••••• · President & Secretary & Chief Compliance Officercontrol
        since 09/2004 · 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.
      What changed
      consecutive filings, newest first
      • Accounts · 27 to 25
        Mar 26, 2019 to Mar 26, 2020
      • HNW clients · 20 to 19
        Mar 26, 2019 to Mar 26, 2020
      • Organization form · Other (specify) to Corporation
        Mar 26, 2019 to Mar 26, 2020
      • Discretionary RAUM · $41.6M to $51.0M
        Mar 26, 2019 to Mar 26, 2020
      • HNW RAUM · $37.4M to $45.7M
        Mar 26, 2019 to Mar 26, 2020
      • Individual RAUM · $1.7M to $2.3M
        Mar 26, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · $145M to $596,396
        Mar 26, 2019 to Mar 26, 2020
      • RAUM · $187M to $51.6M
        Mar 26, 2019 to Mar 26, 2020
      • Employees · 5 to 4
        Mar 26, 2018 to Mar 26, 2019
      • Discretionary RAUM · $44.0M to $41.6M
        Mar 26, 2018 to Mar 26, 2019
      • HNW RAUM · $39.7M to $37.4M
        Mar 26, 2018 to Mar 26, 2019
      • Individual RAUM · $1.9M to $1.7M
        Mar 26, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $150M to $145M
        Mar 26, 2018 to Mar 26, 2019
      • Pension RAUM · unset to 0.0
        Mar 26, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Mar 26, 2018 to Mar 26, 2019
      • RAUM · $194M to $187M
        Mar 26, 2018 to Mar 26, 2019
      • Accounts · 29 to 27
        Mar 22, 2017 to Mar 26, 2018
      • Corporate clients · unset to 0.0
        Mar 22, 2017 to Mar 26, 2018
      • HNW clients · unset to 20.0
        Mar 22, 2017 to Mar 26, 2018
      • Individual clients · unset to 5.0
        Mar 22, 2017 to Mar 26, 2018
      • Pension plan clients · unset to 0.0
        Mar 22, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 22, 2017 to Mar 26, 2018
      • Employees · 4 to 5
        Mar 22, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 26, 2018
      • Discretionary RAUM · $40.1M to $44.0M
        Mar 22, 2017 to Mar 26, 2018
      • HNW RAUM · unset to 39653875.0
        Mar 22, 2017 to Mar 26, 2018
      • Individual RAUM · unset to 1870487.0
        Mar 22, 2017 to Mar 26, 2018
      • Non-discretionary RAUM · $128M to $150M
        Mar 22, 2017 to Mar 26, 2018
      • RAUM · $168M to $194M
        Mar 22, 2017 to Mar 26, 2018
      • Accounts · 34 to 29
        Mar 21, 2016 to Mar 22, 2017
      • Discretionary RAUM · $39.7M to $40.1M
        Mar 21, 2016 to Mar 22, 2017
      • Non-discretionary RAUM · $116M to $128M
        Mar 21, 2016 to Mar 22, 2017
      • RAUM · $155M to $168M
        Mar 21, 2016 to Mar 22, 2017
      • Discretionary RAUM · $40.6M to $39.7M
        Mar 26, 2015 to Mar 21, 2016
      • Non-discretionary RAUM · $123M to $116M
        Mar 26, 2015 to Mar 21, 2016
      • RAUM · $164M to $155M
        Mar 26, 2015 to Mar 21, 2016
      • Discretionary RAUM · $38.9M to $40.6M
        Mar 20, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $113M to $123M
        Mar 20, 2014 to Mar 26, 2015
      • RAUM · $152M to $164M
        Mar 20, 2014 to Mar 26, 2015
      • Accounts · 33 to 34
        Mar 25, 2013 to Mar 20, 2014
      Signals
      1 dated events
      • L••••••••• • J•••••••• I•• reported RAUM $51.6M, down 72% from $186.8M (2019-03-26 to 2020-03-26)
        Mar 26, 2020 · 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.
      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