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
C••••••• A••••••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Feb 23, 2012 · 27 filings
SEC status approved since Jan 11, 1990
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$1.3B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$370M
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.5B as of Mar 4, 2026
Feb 23, 2012$860M then
HNW client RAUM$1.2B as of Mar 4, 2026
Feb 22, 2018$996M then
State-registered IARs (5.B.3)4 as of Mar 4, 2026
Mar 6, 20137 then
Employees (5.A)17 as of Mar 4, 2026
Mar 6, 201317 then
Private funds: no history
RAUM -6.6% over the last fiscal year-7.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $370MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 150derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -16%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $111M, 21 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B79%
- Individuals$163M11%
- Corporations and businesses$88.2M6.0%
- Charitable organizations$50.7M3.4%
- Pension and profit-sharing plans$6.8M0.5%
- Individual clients
- 306reported
- HNW clients
- 293reported
- Pension plan clients
- 3reported
- Charitable clients
- 11reported
- Accounts
- 632reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.2B managedreported
- Custody of client assets
- $111M for 21 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• K•••• C••••••• | Louisville, Ky | Jan 6, 2016 | 36 y | 0 |
| E••• H•••• B•••••••• | Louisville, Ky | Oct 9, 2020 | 32 y | 0 |
| M•••••• D•••• C••••Chartered Financial Analyst | Louisville, Ky | Feb 22, 2024 | 13 y | 0 |
| B•• O••• W•• T••••••• | Louisville, Ky | Aug 3, 2026 | 10 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 25% of current headcount2 left over 36 months
Left, latest
- E•••••••• A•• S••••••• to W•••• F•••• I••••••••• I••••••••• I•••May 6, 2026 · RIA to RIA
- J••••• T•••• F••••••• to C•••••••• F•••••••• A•••••••• L••Jun 13, 2024 · RIA to a newly registered adviser
Joined, latest
- E•••••••• A•• S••••••• from J••• M••••• S••••••••• L••Oct 16, 2024 · Wirehouse to independent RIA
- J••••• T•••• F••••••• from C•••••••• F••••••••• L••Mar 11, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••••• B••••• L•••• · Principal And Chief Compliance Officercontrolsince 11/1989 · owns 25% to 50%
- C•••••••• R•••••• K•••• · Principalcontrolsince 11/1989 · owns 25% to 50%
- C•••••••• R•••••• K•••• · President And Principalcontrolsince 01/1990 · owns 25% to 50%
Related persons
Schedule D 7.A
- C•••••••• F••••••••• L••broker-dealerinvestment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 4, 2026C•••••••• B••••• L•••• (PRINCIPAL AND CHIEF COMPLIANCE OFFICER) left Schedule A between the filings of 2012-02-23 and 2026-03-04peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 747 to 632Mar 28, 2025 to Mar 4, 2026
- Charity clients · 14 to 11Mar 28, 2025 to Mar 4, 2026
- Corporate clients · 18 to 19Mar 28, 2025 to Mar 4, 2026
- HNW clients · 379 to 293Mar 28, 2025 to Mar 4, 2026
- Individual clients · 336 to 306Mar 28, 2025 to Mar 4, 2026
- Assets in custody · $95.6M to $111MMar 28, 2025 to Mar 4, 2026
- Employees · 18 to 17Mar 28, 2025 to Mar 4, 2026
- Discretionary RAUM · $1.6B to $1.5BMar 28, 2025 to Mar 4, 2026
- HNW RAUM · $1.3B to $1.2BMar 28, 2025 to Mar 4, 2026
- Individual RAUM · $204M to $163MMar 28, 2025 to Mar 4, 2026
- Pension RAUM · $6.1M to $6.8MMar 28, 2025 to Mar 4, 2026
- RAUM · $1.6B to $1.5BMar 28, 2025 to Mar 4, 2026
- Related adviser · true to falseMar 28, 2025 to Mar 4, 2026
- Wrap assets (manager) · $1.4B to $1.2BMar 28, 2025 to Mar 4, 2026
- Accounts · 943 to 747Mar 5, 2024 to Mar 28, 2025
- Advisory employees · 9 to 8Mar 5, 2024 to Mar 28, 2025
- BD registered reps · 3 to 2Mar 5, 2024 to Mar 28, 2025
- Charity clients · 30 to 14Mar 5, 2024 to Mar 28, 2025
- Corporate clients · 23 to 18Mar 5, 2024 to Mar 28, 2025
- HNW clients · 439 to 379Mar 5, 2024 to Mar 28, 2025
- Individual clients · 447 to 336Mar 5, 2024 to Mar 28, 2025
- Pension plan clients · 4 to 3Mar 5, 2024 to Mar 28, 2025
- Assets in custody · $251M to $95.6MMar 5, 2024 to Mar 28, 2025
- Insurance-licensed employees · 1 to 0Mar 5, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 5, 2024 to Mar 28, 2025
- State-registered IARs · 6 to 4Mar 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.9B to $1.6BMar 5, 2024 to Mar 28, 2025
- HNW RAUM · $1.5B to $1.3BMar 5, 2024 to Mar 28, 2025
- Individual RAUM · $228M to $204MMar 5, 2024 to Mar 28, 2025
- Pension RAUM · $6.3M to $6.1MMar 5, 2024 to Mar 28, 2025
- RAUM · $1.9B to $1.6BMar 5, 2024 to Mar 28, 2025
- Wrap assets (manager) · $1.2B to $1.4BMar 5, 2024 to Mar 28, 2025
- Accounts · 942 to 943Mar 30, 2023 to Mar 5, 2024
- Charity clients · 25 to 30Mar 30, 2023 to Mar 5, 2024
- Corporate clients · 26 to 23Mar 30, 2023 to Mar 5, 2024
- HNW clients · 416 to 439Mar 30, 2023 to Mar 5, 2024
- Individual clients · 471 to 447Mar 30, 2023 to Mar 5, 2024
- Assets in custody · $365M to $251MMar 30, 2023 to Mar 5, 2024
- Employees · 17 to 18Mar 30, 2023 to Mar 5, 2024
- State-registered IARs · 8 to 6Mar 30, 2023 to Mar 5, 2024
Signals
2 dated events
- E•••••••• A•• S••••••• left C••••••• A••••••••• I••• for W•••• F•••• I••••••••• I••••••••• I••• (registered 2026-05-08)May 6, 2026 · Advisor changed firm · fact
- J••••• T•••• F••••••• left C••••••• A••••••••• I••• for C•••••••• F•••••••• A•••••••• L•• (registered 2025-01-28)Jun 13, 2024 · 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 phone
- 800-611-4841reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 502-893-0300reportedpublic record, Form ADV, Mar 4, 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
- $370Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026