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Former SEC-registered adviser

A•••• I••••••••• M•••••••••

Former SEC-registered adviserCincinnati, OhioCRD 107578SEC 801-53966IAPD
Latest filing Jun 29, 2020
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$44.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
21%
$9.5M 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
22 filings and snapshots on the tape
RAUM$44.6M as of Mar 16, 2020
Mar 30, 2012$92.9M then
HNW client RAUM$2.9M as of Mar 16, 2020
Mar 16, 2018$7.5M then
State-registered IARs (5.B.3)2 as of Mar 16, 2020
Mar 27, 20131 then
Employees (5.A)3 as of Mar 16, 2020
Mar 27, 20134 then
Private funds: no history
RAUM -2.6% over the last fiscal year-37% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
$22.3MderivedRAUM 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
$21,442derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.6%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, publicationsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$33.1M74%
  • Individuals$6.6M15%
  • High-net-worth individuals$2.9M6.4%
  • Pension and profit-sharing plans$2.0M4.5%
Individual clients
101reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,081reported
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•••••• D••••• L••• · Vice President / Coocontrol
        since 09/2007 · owns less than 5%
      • M•••••• A•••••• J•••• · President/Chief Compliance Officercontrol
        since 02/1997 · 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 · 2,028 to 2,081
        Aug 29, 2019 to Mar 16, 2020
      • HNW clients · 5.0 to unset
        Aug 29, 2019 to Mar 16, 2020
      • Individual clients · 133 to 101
        Aug 29, 2019 to Mar 16, 2020
      • Discretionary RAUM · $45.8M to $44.6M
        Aug 29, 2019 to Mar 16, 2020
      • HNW RAUM · $5.3M to $2.9M
        Aug 29, 2019 to Mar 16, 2020
      • Individual RAUM · $8.3M to $6.6M
        Aug 29, 2019 to Mar 16, 2020
      • Pension RAUM · $1.8M to $2.0M
        Aug 29, 2019 to Mar 16, 2020
      • RAUM · $45.8M to $44.6M
        Aug 29, 2019 to Mar 16, 2020
      • Accounts · 6,649 to 2,028
        Nov 7, 2018 to Feb 22, 2019
      • HNW clients · 7 to 5
        Nov 7, 2018 to Feb 22, 2019
      • Individual clients · 160 to 133
        Nov 7, 2018 to Feb 22, 2019
      • Discretionary RAUM · $155M to $45.8M
        Nov 7, 2018 to Feb 22, 2019
      • HNW RAUM · $7.5M to $5.3M
        Nov 7, 2018 to Feb 22, 2019
      • Individual RAUM · $11.6M to $8.3M
        Nov 7, 2018 to Feb 22, 2019
      • Pension RAUM · $1.6M to $1.8M
        Nov 7, 2018 to Feb 22, 2019
      • RAUM · $155M to $45.8M
        Nov 7, 2018 to Feb 22, 2019
      • Accounts · 6,133 to 6,649
        Mar 6, 2017 to Mar 16, 2018
      • HNW clients · unset to 7.0
        Mar 6, 2017 to Mar 16, 2018
      • Individual clients · unset to 160.0
        Mar 6, 2017 to Mar 16, 2018
      • State-registered IARs · 1 to 2
        Mar 6, 2017 to Mar 16, 2018
      • Other offices · unset to 0.0
        Mar 6, 2017 to Mar 16, 2018
      • Discretionary RAUM · $180M to $155M
        Mar 6, 2017 to Mar 16, 2018
      • HNW RAUM · unset to 7545545.0
        Mar 6, 2017 to Mar 16, 2018
      • Individual RAUM · unset to 11588912.0
        Mar 6, 2017 to Mar 16, 2018
      • Pension RAUM · unset to 1639897.0
        Mar 6, 2017 to Mar 16, 2018
      • RAUM · $180M to $155M
        Mar 6, 2017 to Mar 16, 2018
      • Accounts · 4,144 to 6,133
        Feb 29, 2016 to Mar 6, 2017
      • Advisory employees · 1 to 2
        Feb 29, 2016 to Mar 6, 2017
      • Advisory activities · 3 to 2
        Feb 29, 2016 to Mar 6, 2017
      • BD registered reps · 1 to 0
        Feb 29, 2016 to Mar 6, 2017
      • Discretionary RAUM · $113M to $180M
        Feb 29, 2016 to Mar 6, 2017
      • RAUM · $113M to $180M
        Feb 29, 2016 to Mar 6, 2017
      • Accounts · 3,804 to 4,144
        May 11, 2015 to Feb 29, 2016
      • Discretionary RAUM · $126M to $113M
        May 11, 2015 to Feb 29, 2016
      • Non-discretionary RAUM · $26,543 to $0
        May 11, 2015 to Feb 29, 2016
      • RAUM · $126M to $113M
        May 11, 2015 to Feb 29, 2016
      • Accounts · 4,438 to 3,804
        May 11, 2015 to May 11, 2015
      • Discretionary RAUM · $142M to $126M
        May 11, 2015 to May 11, 2015
      • Non-discretionary RAUM · $26,037 to $26,543
        May 11, 2015 to May 11, 2015
      • RAUM · $142M to $126M
        May 11, 2015 to May 11, 2015
      Signals
      1 dated events
      • A•••• I••••••••• M••••••••• reported RAUM $45.8M, down 70% from $154.9M (2018-11-07 to 2019-02-22)
        Feb 22, 2019 · 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