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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SEC-registered adviser
S••••• I•••••••••
Legal name S••••• I••••••••• C•••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 30, 2012 · 26 filings
SEC status approved since Aug 17, 1990
RAUM
$511M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$502M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$511M as of Mar 23, 2026
Mar 30, 2012$134M then
HNW client RAUM$472M as of Mar 23, 2026
Mar 30, 2018$170M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Mar 28, 20131 then
Employees (5.A)6 as of Mar 23, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +21% over the last fiscal year+15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$472M92%
- Individuals$30.0M5.9%
- State and municipal entities$4.4M0.9%
- Charitable organizations$4.2M0.8%
- Corporations and businesses$344,8880.1%
- Individual clients
- 87reported
- HNW clients
- 105reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 195reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• S•••• S••••• | Oxford, Oh | Aug 10, 1992 | 41 y | 0 |
| K•••• J••••• R•••• | Oxford, Oh | Mar 18, 2025 | 12 y | 0 |
| C•••••• V••••• | Oxford, Oh | Jun 9, 2026 | 11 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- A•••••••• R••• S•••• S••••• to F••••••• I•••••••••Dec 4, 2025 · RIA to a state-registered adviser
- C••••••••• R•••• C••••••• to F• W••••• S•••••••• L••Jan 13, 2021 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• N••••• K•• · Chief Accounting Officercontrolsince 01/2008 · owns 10% to 25%
- S•••••• R••••••• S•••• · Owner/Chief Executive Officer, Chief Compliance Officercontrolsince 09/2004 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Oxford, Oh | 3 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 180 to 195Mar 31, 2025 to Mar 23, 2026
- HNW clients · 104 to 105Mar 31, 2025 to Mar 23, 2026
- Individual clients · 73 to 87Mar 31, 2025 to Mar 23, 2026
- Employees · 5 to 6Mar 31, 2025 to Mar 23, 2026
- Insurance-licensed employees · 1 to 0Mar 31, 2025 to Mar 23, 2026
- Discretionary RAUM · $421M to $511MMar 31, 2025 to Mar 23, 2026
- HNW RAUM · $364M to $472MMar 31, 2025 to Mar 23, 2026
- Individual RAUM · $30.3M to $30.0MMar 31, 2025 to Mar 23, 2026
- Pension RAUM · 7160166.0 to unsetMar 31, 2025 to Mar 23, 2026
- RAUM · $421M to $511MMar 31, 2025 to Mar 23, 2026
- Accounts · 193 to 180Jan 21, 2025 to Mar 31, 2025
- HNW clients · 90 to 104Jan 21, 2025 to Mar 31, 2025
- Individual clients · 100 to 73Jan 21, 2025 to Mar 31, 2025
- Insurance-licensed employees · 0 to 1Jan 21, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 21, 2025 to Mar 31, 2025
- Discretionary RAUM · $385M to $421MJan 21, 2025 to Mar 31, 2025
- HNW RAUM · $338M to $364MJan 21, 2025 to Mar 31, 2025
- Individual RAUM · $33.6M to $30.3MJan 21, 2025 to Mar 31, 2025
- Pension RAUM · $6.3M to $7.2MJan 21, 2025 to Mar 31, 2025
- RAUM · $385M to $421MJan 21, 2025 to Mar 31, 2025
- HQ city · unset to Aug 16, 2024 to Jan 21, 2025
- HQ state · unset to Aug 16, 2024 to Jan 21, 2025
- Accounts · 189 to 193Dec 19, 2023 to Mar 27, 2024
- Charity clients · unset to 1.0Dec 19, 2023 to Mar 27, 2024
- HNW clients · 98 to 90Dec 19, 2023 to Mar 27, 2024
- Individual clients · 90 to 100Dec 19, 2023 to Mar 27, 2024
- Pension plan clients · unset to 1.0Dec 19, 2023 to Mar 27, 2024
- Discretionary RAUM · $340M to $385MDec 19, 2023 to Mar 27, 2024
- HNW RAUM · $300M to $338MDec 19, 2023 to Mar 27, 2024
- Individual RAUM · $27.9M to $33.6MDec 19, 2023 to Mar 27, 2024
- Pension RAUM · $5.6M to $6.3MDec 19, 2023 to Mar 27, 2024
- RAUM · $340M to $385MDec 19, 2023 to Mar 27, 2024
- Accounts · 176 to 189Dec 22, 2022 to Mar 23, 2023
- Individual clients · 78 to 90Dec 22, 2022 to Mar 23, 2023
- Discretionary RAUM · $313M to $340MDec 22, 2022 to Mar 23, 2023
- HNW RAUM · $242M to $300MDec 22, 2022 to Mar 23, 2023
- Individual RAUM · $17.4M to $27.9MDec 22, 2022 to Mar 23, 2023
- Pension RAUM · $5.8M to $5.6MDec 22, 2022 to Mar 23, 2023
- RAUM · $313M to $340MDec 22, 2022 to Mar 23, 2023
- Accounts · 179 to 176May 27, 2021 to Mar 21, 2022
Signals
1 dated events
- A•••••••• R••• S•••• S••••• left S••••• I••••••••• for F••••••• I••••••••• (registered 2026-07-22)Dec 4, 2025 · Advisor changed firm · fact
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@shoker.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-524-1775reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-524-1776reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-524-1776reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- shoker.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026