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
Eubel Brady & Suttman
Legal name Eubel Brady & Suttman Asset Management Inc
Latest filing Sep 1, 2026
First filing on the tape Dec 2, 2011 · 44 filings
SEC status approved since Sep 9, 1993
RAUM
$2.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
58%
$1.2B individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
34
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$2.1B as of Jul 15, 2026
Mar 29, 2012$586M then
HNW client RAUM$1.1B as of Jul 15, 2026
Mar 30, 2018$498M then
State-registered IARs (5.B.3)18 as of Jul 15, 2026
Mar 29, 20120 then
Employees (5.A)34 as of Jul 15, 2026
Apr 1, 201330 then
Private funds2 as of Mar 30, 2020
Mar 29, 20125 then
RAUM +13% over the last fiscal year+4.6% a year over threeIARs 16 to 18
Practice profile
derived from the filing of Sep 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 18.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $620M, 333 clientsreportedItem 9.A
- 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 cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B51%
- Investment companies$574M28%
- Individuals$138M6.6%
- Pooled investment vehicles$112M5.4%
- Pension and profit-sharing plans$64.5M3.1%
- Charitable organizations$60.9M2.9%
- Corporations and businesses$59.9M2.9%
- Individual clients
- 436reported
- HNW clients
- 319reported
- Pension plan clients
- 18reported
- Charitable clients
- 23reported
- Accounts
- 1,885reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $620M for 333 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.58 fund_share=0.33 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert John SuttmanChartered Financial Analyst | Dayton, Oh | Oct 8, 1993 | 35 y | 0 |
| Mark E Brady | Dayton, Oh | Oct 8, 1993 | 34 y | 0 |
| Paul David Crichton | Dayton, Oh | Feb 10, 2003 | 34 y | 0 |
| Kenneth Edward Leist | Dayton, Oh | Feb 10, 2003 | 35 y | 0 |
| Scott Edger LundyCertified Financial Planner | Dayton, Oh | Mar 12, 2003 | 25 y | 0 |
| Ronald Lee Eubel | Dayton, Oh | Apr 6, 2004 | 34 y | 0 |
| Teresa Lynne King | Dayton, Oh | Apr 28, 2004 | 31 y | 0 |
| David Keith Ray | Miamisburg, Oh | Jan 5, 2007 | 23 y | 0 |
| Mary Lynn HedrickCertified Financial Planner | Miamisburg, Oh | Jul 24, 2012 | 36 y | 3 |
| Dawn Elaine KramerCertified Financial Planner | Miamisburg, Oh | Mar 15, 2016 | 20 y | 0 |
| Matthew Dennis DiciccoCertified Financial Planner | Miamisburg, Oh | Dec 22, 2016 | 10 y | 0 |
| Egan Curtis RosellCertified Financial Planner | Miamisburg, Oh | Jul 16, 2019 | 12 y | 0 |
| Stephanie Dawn Warrick | Dayton, Oh | Jul 10, 2020 | 25 y | 1 |
| Courtney E Stephenson | Miamisburg, Oh | Jun 8, 2023 | 10 y | 0 |
| Sara V. Mahoney | Miamisburg, Oh | Nov 15, 2023 | 28 y | 0 |
| Chase Conner Marshall | Miamisburg, Oh | Apr 10, 2024 | 10 y | 0 |
| Brandon Matthew Kinney | Miamisburg, Oh | Mar 11, 2025 | 13 y | 0 |
| Neesha Crawford | Miamisburg, Oh | Jun 17, 2025 | 14 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- William Eugene Hazel to Cedar Wealth ManagementJan 21, 2015 · Other
- Timothy John Miller to Blackrock Investment Management, LLCJul 27, 2010 · Other
Joined, latest
- Mary Lynn Hedrick from Raymond James Financial Services Advisors, IncJul 24, 2012 · Other
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Credit Facility Investment, LLCno longer reported | Private Equity Fund | $57.7M | 94 | Mar 31, 2014 |
| Ebs Convertible Fund I, L.P.no longer reported | Hedge Fund | $52.3M | 97 | Mar 29, 2012 |
| Ebs Partners, L.P.no longer reported | Hedge Fund | $8.7M | 16 | Mar 29, 2012 |
| Ebs Opportunity Fund, L.P.no longer reported | Private Equity Fund | $1.1M | 80 | Mar 29, 2012 |
| Ebs Opportunity Fund II, L.P.no longer reported | Private Equity Fund | $738,405 | 58 | Mar 29, 2012 |
| Ebs First Lien Fund, LLCno longer reported | Real Estate Fund | $412,945 | 89 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E Mark Brady · Co-Cio, Directorcontrolsince 08/1993 · owns 10% to 25%
- David Paul Crichton · Director Of Trading, Senior Securities Analystcontrolsince 01/2009 · owns 5% to 10%
- Dennis Matthew Dicicco · President, General Counselcontrolsince 12/2022 · owns 5% to 10%
- Lee Ronald Eubel · Co-Cio, Directorcontrolsince 08/1993 · owns 10% to 25%
- Lynne Teresa King · Chief Compliance Officercontrolsince 03/2019 · owns less than 5%
- Edward Kenneth Leist · Senior Securities Analystcontrolsince 01/2009 · owns 5% to 10%
- Edger Scott Lundy · Chief Executive Officer, Directorcontrolsince 01/2009 · owns 25% to 50%
- Keith David Ray · Secretary, Directorcontrolsince 09/2003 · owns less than 5%
- A. Kimberly Riley · Chief Financial Officer, Treasurercontrolsince 06/2016 · owns less than 5%
- John Robert Suttman · Co-Founder, Directorcontrolsince 08/1993 · owns 10% to 25%
- Dawn Stephanie Warrick · Chief Operations Officercontrolsince 03/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- Matthew D. Diciccoy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Miamisburg, Oh · principal | 10 | 0 | 0 | ||
| Dayton, Oh | 8 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Sep 1, 2026LEIST, KENNETH, EDWARD (SENIOR SECURITIES ANALYST) left Schedule A between the filings of 2023-03-30 and 2026-09-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Sep 1, 2026RAY, DAVID, KEITH (SECRETARY, DIRECTOR) left Schedule A between the filings of 2023-03-30 and 2026-09-01peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Jul 15, 2026 to Sep 1, 2026
- Succession · false to unsetJul 15, 2026 to Sep 1, 2026
- Accounts · 1,822 to 1,885Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 36 to 23Mar 28, 2025 to Mar 27, 2026
- Charity clients · 16 to 23Mar 28, 2025 to Mar 27, 2026
- Corporate clients · 13 to 14Mar 28, 2025 to Mar 27, 2026
- HNW clients · 301 to 319Mar 28, 2025 to Mar 27, 2026
- Individual clients · 441 to 436Mar 28, 2025 to Mar 27, 2026
- Pension plan clients · 20 to 18Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $570M to $620MMar 28, 2025 to Mar 27, 2026
- Employees · 36 to 34Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 16 to 18Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.8B to $2.1BMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $917M to $1.1BMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $142M to $138MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $67.6M to $64.5MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $78.2M to $112MMar 28, 2025 to Mar 27, 2026
- RAUM · $1.8B to $2.1BMar 28, 2025 to Mar 27, 2026
- Accounts · 1,792 to 1,822Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 33 to 36Mar 28, 2024 to Mar 28, 2025
- Corporate clients · 19 to 13Mar 28, 2024 to Mar 28, 2025
- HNW clients · 287 to 301Mar 28, 2024 to Mar 28, 2025
- Individual clients · 450 to 441Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 24 to 20Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $589M to $570MMar 28, 2024 to Mar 28, 2025
- Employees · 33 to 36Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 51-100Mar 28, 2024 to Mar 28, 2025
- State-registered IARs · 15 to 16Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.0B to $1.8BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $832M to $917MMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $136M to $142MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $61.4M to $67.6MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $95.9M to $78.2MMar 28, 2024 to Mar 28, 2025
- RAUM · $2.0B to $1.8BMar 28, 2024 to Mar 28, 2025
- Accounts · 1,760 to 1,792Oct 31, 2023 to Mar 28, 2024
- Advisory activities · 6 to 7Oct 31, 2023 to Mar 28, 2024
- Charity clients · 6 to 16Oct 31, 2023 to Mar 28, 2024
- HNW clients · 270 to 287Oct 31, 2023 to Mar 28, 2024
- Individual clients · 473 to 450Oct 31, 2023 to Mar 28, 2024
- Pension plan clients · 16 to 24Oct 31, 2023 to Mar 28, 2024
Signals
5 dated events
- Dennis Matthew Dicicco (Senior Vice President, General Counsel) appeared on Schedule A of Eubel Brady & SuttmanMar 30, 2023 · Control person joined · fact
- Eubel Brady & Suttman reported RAUM $1.6B, up 26% from $1.3B (2021-06-28 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Dawn Stephanie Warrick (Chief Operations Officer) appeared on Schedule A of Eubel Brady & SuttmanMar 30, 2022 · Control person joined · fact
- Lynne Teresa King (Chief Compliance Officer) appeared on Schedule A of Eubel Brady & SuttmanMar 31, 2019 · Control person joined · fact
- Aaron Hillman (Senior Securities Analyst) no longer on Schedule A of Eubel Brady & Suttman (listed 2018-04-11, absent 2019-03-31)Mar 31, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Eubel Brady & Suttman · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@ebsinvests.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 937-291-1223reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/EBS-INVESTMENT-AND-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- EBSINVESTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 937-291-1223reportedpublic record, Form ADV, Sep 1, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Eubel Brady & Suttman is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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