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••••••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Apr 23, 1998
RAUM
$131M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
45%
$59.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$32.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$131M as of Mar 27, 2026
Mar 29, 2012$115M then
HNW client RAUM$16.0M as of Mar 27, 2026
Mar 30, 2018$5.0M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 14, 20133 then
Employees (5.A)2 as of Mar 27, 2026
Mar 14, 20133 then
Private funds: no history
RAUM -21% over the last fiscal year-1.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 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
- RAUM per advisor
- $32.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $454,861derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 42%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +6.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$43.0M33%
- State and municipal entities$41.0M31%
- Corporations and businesses$17.0M13%
- High-net-worth individuals$16.0M12%
- Pension and profit-sharing plans$14.0M11%
- Individual clients
- 259reported
- HNW clients
- 10reported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 288reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.45 fund_share=0.0 institutional_share=0.42 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••• K••••••• | Weirton, Wv | Jan 9, 1997 | 33 y | 0 |
| S••• M•••••• P•••• | Weirton, Wv | Jan 1, 1999 | 29 y | 0 |
| D•••• J••••• G•••• | Weirton, Wv | Mar 13, 2000 | n/a | 0 |
| M•••••• A•••• P•••• | Weirton, Wv | Mar 2, 2005 | 27 y | 2 |
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
none on the tape
Joined, latest
- M•••••• A•••• P•••• from W•••• F•••• A•••••••Mar 2, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• M••••••• A•••• · Chairman/Ceo/Chief Compliance Officercontrolsince 07/2021 · owns 50% to 75%
- P••••• S•••• M• · Coocontrolsince 07/2021 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Weirton, Wv · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Mar 27, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $166,000,000 to $131,000,000, advisors 2 to 2, private clients 253 to 269, offices 0 to 0 (2025-03-26 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- high institutional concentrationStatic outlier · filing Mar 27, 2026institutional share of RAUM of 42% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 14.1 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
- institutional asset share shiftChange between filings · filing Mar 27, 2026institutional share of RAUM moved from 73.0% to 55.0% between the annual amendments of 2025-03-26 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
- client mix shiftChange between filings · filing Mar 27, 2026private-client share of RAUM moved from 27.0% to 45.0% between the annual amendments of 2025-03-26 and 2026-03-27peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 266 to 288Mar 26, 2025 to Mar 27, 2026
- HNW clients · 8 to 10Mar 26, 2025 to Mar 27, 2026
- Individual clients · 245 to 259Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $163M to $117MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $10.0M to $16.0MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $35.0M to $43.0MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $3.0M to $14.0MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $60.0M to $14.0MMar 26, 2025 to Mar 27, 2026
- RAUM · $166M to $131MMar 26, 2025 to Mar 27, 2026
- Accounts · 277 to 266Mar 22, 2024 to Mar 26, 2025
- HNW clients · 7 to 8Mar 22, 2024 to Mar 26, 2025
- Individual clients · 254 to 245Mar 22, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $149M to $163MMar 22, 2024 to Mar 26, 2025
- HNW RAUM · $9.0M to $10.0MMar 22, 2024 to Mar 26, 2025
- Individual RAUM · $31.0M to $35.0MMar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $2.0M to $3.0MMar 22, 2024 to Mar 26, 2025
- Pension RAUM · $55.0M to $60.0MMar 22, 2024 to Mar 26, 2025
- RAUM · $151M to $166MMar 22, 2024 to Mar 26, 2025
- Accounts · 245 to 277Mar 30, 2023 to Mar 22, 2024
- HNW clients · 6 to 7Mar 30, 2023 to Mar 22, 2024
- Individual clients · 223 to 254Mar 30, 2023 to Mar 22, 2024
- Discretionary RAUM · $135M to $149MMar 30, 2023 to Mar 22, 2024
- HNW RAUM · $7.0M to $9.0MMar 30, 2023 to Mar 22, 2024
- Individual RAUM · $27.0M to $31.0MMar 30, 2023 to Mar 22, 2024
- Pension RAUM · $54.0M to $55.0MMar 30, 2023 to Mar 22, 2024
- RAUM · $137M to $151MMar 30, 2023 to Mar 22, 2024
- Accounts · 173 to 245Mar 29, 2022 to Mar 30, 2023
- HNW clients · 7 to 6Mar 29, 2022 to Mar 30, 2023
- Individual clients · 205 to 223Mar 29, 2022 to Mar 30, 2023
- Discretionary RAUM · $221M to $135MMar 29, 2022 to Mar 30, 2023
- HNW RAUM · $8.0M to $7.0MMar 29, 2022 to Mar 30, 2023
- Individual RAUM · $32.0M to $27.0MMar 29, 2022 to Mar 30, 2023
- Pension RAUM · $64.0M to $54.0MMar 29, 2022 to Mar 30, 2023
- RAUM · $223M to $137MMar 29, 2022 to Mar 30, 2023
- Accounts · 180 to 173Jul 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $200M to $221MJul 30, 2021 to Mar 29, 2022
- HNW RAUM · $8.5M to $8.0MJul 30, 2021 to Mar 29, 2022
- Individual RAUM · $31.0M to $32.0MJul 30, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $2.5M to $2.0MJul 30, 2021 to Mar 29, 2022
Signals
1 dated events
- John Donald Kendrick (Chairman / Chief Executive Officer) no longer on Schedule A of S•••••••• I••••••••• A•••••••• I••• (listed 2021-03-30, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
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 phone
- 304-723-5999reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 304-723-6700reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- S••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 304-723-6700reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- s••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s••••••••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $32.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026