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.
Former SEC-registered adviser
Asset Advisory Group Inc
Latest filing Oct 13, 2022
First filing on the tape Feb 3, 2012 · 16 filings
RAUM
$399M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$392M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$399M as of Mar 11, 2022
Feb 3, 2012$218M then
HNW client RAUM$358M as of Mar 11, 2022
Mar 21, 2018$268M then
State-registered IARs (5.B.3)4 as of Mar 11, 2022
Feb 3, 20120 then
Employees (5.A)8 as of Mar 11, 2022
Mar 18, 20136 then
Private funds: no history
RAUM +14% over the last fiscal year+11% a year over threeIARs 0 to 4
Practice profile
derived from the filing of Oct 13, 2022; every figure names its basis
- RAUM per advisor
- $99.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $450,613derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $239M, 90 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$358M90%
- Individuals$34.1M8.5%
- Pension and profit-sharing plans$6.8M1.7%
- Individual clients
- 125reported
- HNW clients
- 143reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 886reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $239M for 90 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Michael Elliott Raidt to Mercer Global Advisors Inc.Jan 3, 2023 · RIA to RIA
- Sarah Marie Tenhundfeld to Mercer Global Advisors Inc.Jan 3, 2023 · RIA to RIA
- David E Workman to Mercer Global Advisors Inc.Jan 3, 2023 · RIA to RIA
- Danielle R Seurkamp to Well Spent Wealth PlanningJul 12, 2019 · RIA to a state-registered adviser
- Christine Lynn Carleton to Truepoint, Inc.Jan 8, 2014 · Other
Joined, latest
- Michael Elliott Raidt from Lenox Wealth Management, Inc.Mar 26, 2020 · Other
- Sarah Marie Tenhundfeld from Pinnacle Wealth Management, Inc.Sep 18, 2019 · RIA to RIA
- Danielle R Seurkamp from Foster & Motley IncFeb 2, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Mercer Global Advisors Inc.Jan 3, 2023 · Cincinnati, Oh · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Hamilton Gregory Jones · Vp Operationscontrolsince 01/1996 · owns less than 5%
- Aline Jeannette Jones · Founder, Chief Compliance Officercontrolsince 01/1996 · owns less than 5%
- E David Workman II · President, Shareholdercontrolsince 01/2013 · owns less than 5%
Entity owners
- Mercer Global Advisors Inc. · Parent Companydirect · 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
- Assets in custody · unset to 238768010.0Mar 11, 2022 to Oct 13, 2022
- Custody of client assets · false to trueMar 11, 2022 to Oct 13, 2022
- Accounts · 835 to 886Oct 6, 2021 to Mar 11, 2022
- HNW clients · 130 to 143Oct 6, 2021 to Mar 11, 2022
- Individual clients · 126 to 125Oct 6, 2021 to Mar 11, 2022
- State-registered IARs · 0 to 4Oct 6, 2021 to Mar 11, 2022
- Discretionary RAUM · $333M to $378MOct 6, 2021 to Mar 11, 2022
- HNW RAUM · $313M to $358MOct 6, 2021 to Mar 11, 2022
- Individual RAUM · $30.3M to $34.1MOct 6, 2021 to Mar 11, 2022
- Non-discretionary RAUM · $16.1M to $20.9MOct 6, 2021 to Mar 11, 2022
- Pension RAUM · $5.9M to $6.8MOct 6, 2021 to Mar 11, 2022
- RAUM · $349M to $399MOct 6, 2021 to Mar 11, 2022
- Accounts · 891 to 835May 12, 2020 to Mar 9, 2021
- HNW clients · 124 to 130May 12, 2020 to Mar 9, 2021
- Individual clients · 177 to 126May 12, 2020 to Mar 9, 2021
- Discretionary RAUM · $324M to $333MMay 12, 2020 to Mar 9, 2021
- HNW RAUM · $290M to $313MMay 12, 2020 to Mar 9, 2021
- Individual RAUM · $42.9M to $30.3MMay 12, 2020 to Mar 9, 2021
- Non-discretionary RAUM · $14.1M to $16.1MMay 12, 2020 to Mar 9, 2021
- Pension RAUM · $5.8M to $5.9MMay 12, 2020 to Mar 9, 2021
- RAUM · $338M to $349MMay 12, 2020 to Mar 9, 2021
- Accounts · 860 to 891Mar 14, 2019 to Mar 27, 2020
- Advisory employees · 3 to 4Mar 14, 2019 to Mar 27, 2020
- HNW clients · 111 to 124Mar 14, 2019 to Mar 27, 2020
- Individual clients · 142 to 177Mar 14, 2019 to Mar 27, 2020
- Employees · 7 to 8Mar 14, 2019 to Mar 27, 2020
- Discretionary RAUM · $282M to $324MMar 14, 2019 to Mar 27, 2020
- HNW RAUM · $241M to $290MMar 14, 2019 to Mar 27, 2020
- Individual RAUM · $48.7M to $42.9MMar 14, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $13.3M to $14.1MMar 14, 2019 to Mar 27, 2020
- Pension RAUM · $5.4M to $5.8MMar 14, 2019 to Mar 27, 2020
- RAUM · $295M to $338MMar 14, 2019 to Mar 27, 2020
- Accounts · 796 to 860Mar 21, 2018 to Mar 14, 2019
- HNW clients · 121 to 111Mar 21, 2018 to Mar 14, 2019
- Individual clients · 161 to 142Mar 21, 2018 to Mar 14, 2019
- Discretionary RAUM · $298M to $282MMar 21, 2018 to Mar 14, 2019
- HNW RAUM · $268M to $241MMar 21, 2018 to Mar 14, 2019
- Individual RAUM · $35.1M to $48.7MMar 21, 2018 to Mar 14, 2019
- Non-discretionary RAUM · $12.6M to $13.3MMar 21, 2018 to Mar 14, 2019
- Pension RAUM · $7.1M to $5.4MMar 21, 2018 to Mar 14, 2019
Signals
4 dated events
- Sarah Marie Tenhundfeld left Asset Advisory Group Inc for Mercer Global Advisors Inc. (registered 2022-11-01)Jan 3, 2023 · Advisor changed firm · fact
- David E Workman left Asset Advisory Group Inc for Mercer Global Advisors Inc. (registered 2022-10-31)Jan 3, 2023 · Advisor changed firm · fact
- Michael Elliott Raidt left Asset Advisory Group Inc for Mercer Global Advisors Inc. (registered 2022-10-31)Jan 3, 2023 · Advisor changed firm · fact
- Asset Advisory Group Inc's advisors moved to Mercer Global Advisors Inc. (Cincinnati, OH): 3 of 3 registered, on the same dayJan 3, 2023 · Firm absorbed (people side) · 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