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

A••• C•••••• M•••••••••

Former SEC-registered adviserMiamisburg, OhioCRD 107075SEC 801-42460IAPD
Latest filing Apr 14, 2016
First filing on the tape Feb 27, 2012 · 8 filings
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$4.9B as of Feb 9, 2016
Feb 27, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 9, 2016
Mar 8, 20131 then
Employees (5.A)23 as of Feb 9, 2016
Mar 8, 201314 then
Private funds: no history
RAUM +23% over the last fiscal year+35% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 14, 2016; every figure names its basis
RAUM per advisor
$4.9BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
23.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4,393reported
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
      • H••••••• M•••• S••••• · Vice Presidentcontrol
        since 06/2010 · owns 5% to 10%
      • K••••••••• M••••••• D•••• · Vice President & Chief Compliance Officercontrol
        since 03/2001 · owns 10% to 25%
      • K•••••••• K••••• N•••• · Vice Presidentcontrol
        since 10/1994 · owns less than 5%
      • K•••••••• N••••• N•••••••• · President & Ceocontrol
        since 04/1987 · owns 50% to 75%
      • R••••• S••••• M•••••••• · Vice Presidentcontrol
        since 06/2010 · owns 5% to 10%
      • T••••••••• J••• E••••• · Vice Presidentcontrol
        since 10/2000 · owns 10% to 25%
      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
      • HQ city · DAYTON to MIAMISBURG
        Feb 9, 2016 to Apr 14, 2016
      • Accounts · 3,052 to 4,393
        Mar 6, 2015 to Feb 9, 2016
      • Employees · 19 to 23
        Mar 6, 2015 to Feb 9, 2016
      • Financial planning clients · 0 to unset
        Mar 6, 2015 to Feb 9, 2016
      • Discretionary RAUM · $4.0B to $4.9B
        Mar 6, 2015 to Feb 9, 2016
      • RAUM · $4.0B to $4.9B
        Mar 6, 2015 to Feb 9, 2016
      • Accounts · 2,017 to 3,052
        Feb 7, 2014 to Mar 6, 2015
      • Advisory employees · 5 to 6
        Feb 7, 2014 to Mar 6, 2015
      • Employees · 18 to 19
        Feb 7, 2014 to Mar 6, 2015
      • Discretionary RAUM · $2.8B to $4.0B
        Feb 7, 2014 to Mar 6, 2015
      • RAUM · $2.8B to $4.0B
        Feb 7, 2014 to Mar 6, 2015
      • Accounts · 1,128 to 2,017
        Apr 24, 2013 to Feb 7, 2014
      • Employees · 14 to 18
        Apr 24, 2013 to Feb 7, 2014
      • Discretionary RAUM · $1.5B to $2.8B
        Apr 24, 2013 to Feb 7, 2014
      • RAUM · $1.5B to $2.8B
        Apr 24, 2013 to Feb 7, 2014
      • Accounts · 1,140 to 1,128
        Mar 8, 2013 to Apr 24, 2013
      • Discretionary RAUM · $2.0B to $1.5B
        Mar 8, 2013 to Apr 24, 2013
      • RAUM · $2.0B to $1.5B
        Mar 8, 2013 to Apr 24, 2013
      • Accounts · 947 to 1,140
        Jul 16, 2012 to Mar 8, 2013
      • Advisory employees · unset to 5.0
        Jul 16, 2012 to Mar 8, 2013
      • BD registered reps · 0 to 1
        Jul 16, 2012 to Mar 8, 2013
      • Employees · unset to 14.0
        Jul 16, 2012 to Mar 8, 2013
      • State-registered IARs · unset to 1.0
        Jul 16, 2012 to Mar 8, 2013
      • Discretionary RAUM · $1.6B to $2.0B
        Jul 16, 2012 to Mar 8, 2013
      • RAUM · $1.6B to $2.0B
        Jul 16, 2012 to Mar 8, 2013
      • Accounts · 724 to 947
        Feb 27, 2012 to Jul 16, 2012
      • Advisory activities · 2 to 3
        Feb 27, 2012 to Jul 16, 2012
      • Discretionary RAUM · $1.3B to $1.6B
        Feb 27, 2012 to Jul 16, 2012
      • RAUM · $1.3B to $1.6B
        Feb 27, 2012 to Jul 16, 2012
      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