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.
SEC-registered adviser
Vawter Financial Ltd
Latest filing Jul 21, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Apr 24, 2018
RAUM
$394M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$394M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$98.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$394M as of Jul 21, 2026
Mar 30, 2012$40.5M then
HNW client RAUM$349M as of Jul 21, 2026
Mar 4, 2019$37.0M then
State-registered IARs (5.B.3)4 as of Jul 21, 2026
Mar 4, 20193 then
Employees (5.A)5 as of Jul 21, 2026
Mar 4, 20195 then
Private funds: no history
RAUM +26% over the last fiscal year+25% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Jul 21, 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
- 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
- RAUM per advisor
- $98.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $341,445derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $223M, 264 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$349M88%
- Individuals$45.7M12%
- Individual clients
- 144reported
- HNW clients
- 103reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,155reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $223M for 264 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Gary Lynn VawterCertified Financial Planner, Chartered Financial Consultant | Columbus, Oh | Feb 13, 2007 | 35 y | 2 |
| William Samuel WhitakerCertified Financial Planner | Columbus, Oh | Sep 15, 2017 | 17 y | 2 |
| Katrina Marie MooreCertified Financial Planner | Columbus, Oh | May 21, 2020 | 9 y | 0 |
| Robert JamisonCertified Financial Planner | Columbus, Oh | Oct 20, 2025 | 11 y | 0 |
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
- Krista Allison Cavalieri to Evolve Capital LLCNov 7, 2016 · Other
- Christina Maria Povenmire to Cmp Financial PlanningJan 4, 2011 · Other
- Pierre Bigby to Bigby Financial Planning, LLCDec 31, 2006 · Other
Joined, latest
- William Samuel Whitaker from Summit Financial Strategies IncSep 15, 2017 · Other
- Krista Allison Cavalieri from Nfp Advisor Services, LLCAug 14, 2013 · Other
- Christina Maria Povenmire from Cmp Financial PlanningApr 3, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lynn Gary Vawter · President & Ownercontrolsince 09/1991 · owns 75% or more
- Samuel William Whitaker · Owner & Advisorcontrolsince 01/2024 · owns 25% to 50%
- Jacqueline Washburn · Owner & Office Manager & Chief Compliance Officersince 01/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,011 to 1,155Mar 28, 2025 to Mar 27, 2026
- HNW clients · 115 to 103Mar 28, 2025 to Mar 27, 2026
- Individual clients · 92 to 144Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $314M to $223MMar 28, 2025 to Mar 27, 2026
- State-registered IARs · 3 to 4Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $314M to $394MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $300M to $349MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $13.7M to $45.7MMar 28, 2025 to Mar 27, 2026
- RAUM · $314M to $394MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $262M to $300MApr 4, 2024 to Mar 28, 2025
- Individual RAUM · $6.5M to $13.7MApr 4, 2024 to Mar 28, 2025
- RAUM · $269M to $314MApr 4, 2024 to Mar 28, 2025
- Accounts · 759 to 1,011Apr 4, 2024 to Mar 28, 2025
- HNW clients · 121 to 115Apr 4, 2024 to Mar 28, 2025
- Individual clients · 76 to 92Apr 4, 2024 to Mar 28, 2025
- Assets in custody · $269M to $314MApr 4, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Apr 4, 2024 to Mar 28, 2025
- Discretionary RAUM · $269M to $314MApr 4, 2024 to Mar 28, 2025
- Accounts · 765 to 759Oct 11, 2023 to Mar 7, 2024
- Advisory employees · 3 to 4Oct 11, 2023 to Mar 7, 2024
- HNW clients · 93 to 121Oct 11, 2023 to Mar 7, 2024
- Individual clients · 89 to 76Oct 11, 2023 to Mar 7, 2024
- Assets in custody · $204M to $269MOct 11, 2023 to Mar 7, 2024
- Discretionary RAUM · $204M to $269MOct 11, 2023 to Mar 7, 2024
- HNW RAUM · $180M to $262MOct 11, 2023 to Mar 7, 2024
- Individual RAUM · $24.5M to $6.5MOct 11, 2023 to Mar 7, 2024
- RAUM · $204M to $269MOct 11, 2023 to Mar 7, 2024
- Accounts · 658 to 765Aug 5, 2022 to Mar 2, 2023
- Advisory activities · 5 to 3Aug 5, 2022 to Mar 2, 2023
- Charity clients · 1.0 to unsetAug 5, 2022 to Mar 2, 2023
- HNW clients · 84 to 93Aug 5, 2022 to Mar 2, 2023
- Individual clients · 81 to 89Aug 5, 2022 to Mar 2, 2023
- Assets in custody · $215M to $204MAug 5, 2022 to Mar 2, 2023
- Employees · 4 to 5Aug 5, 2022 to Mar 2, 2023
- Discretionary RAUM · $215M to $204MAug 5, 2022 to Mar 2, 2023
- HNW RAUM · $190M to $180MAug 5, 2022 to Mar 2, 2023
- Individual RAUM · $25.9M to $24.5MAug 5, 2022 to Mar 2, 2023
- RAUM · $215M to $204MAug 5, 2022 to Mar 2, 2023
- Accounts · 655 to 658Mar 11, 2021 to Mar 28, 2022
- Charity clients · unset to 1.0Mar 11, 2021 to Mar 28, 2022
Signals
2 dated events
- Samuel William Whitaker (Owner & Advisor) appeared on Schedule A of Vawter Financial LtdMar 7, 2024 · Control person joined · fact
- Vawter Financial Ltd filed its initial SEC registration (Form ADV)Mar 27, 2018 · First SEC registration · 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@vawterfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-451-1002reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-538-2812reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/VAWTER-FINANCIAL-LTD-reportedpublic record, Form ADV, Sep 17, 2026
- Website
- VAWTERFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-451-1002reportedpublic record, Form ADV, Jul 21, 2026
- Team page
- vawterfinancial.com/team-member-01reportedpublished by the firm, firm site, Sep 15, 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
- $98.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026