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
Alphamark Advisors, LLC
Latest filing Mar 5, 2025
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since Nov 24, 2000
RAUM
$406M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$381M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$406M as of Mar 5, 2025
Mar 27, 2012$273M then
HNW client RAUM$289M as of Mar 5, 2025
Mar 28, 2018$209M then
State-registered IARs (5.B.3)3 as of Mar 5, 2025
Mar 27, 20134 then
Employees (5.A)5 as of Mar 5, 2025
Mar 27, 20137 then
Private funds: no history
RAUM +1.6% over the last fiscal year+0.2% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Mar 5, 2025; every figure names its basis
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $909,776derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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 non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$289M71%
- Individuals$92.6M23%
- Corporations and businesses$13.4M3.3%
- Pension and profit-sharing plans$10.0M2.5%
- Charitable organizations$878,7340.2%
- Individual clients
- 340reported
- HNW clients
- 98reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 446reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 Louis Simon to Ep Wealth AdvisorsApr 25, 2025 · RIA to RIA
- Kelly Elizabeth Owens to Ep Wealth AdvisorsApr 25, 2025 · RIA to RIA
- Andrew Charles Becker to Ep Wealth AdvisorsApr 25, 2025 · RIA to RIA
- Anthony William Frambes to Horter Investment Management, LLCJul 23, 2024 · RIA to RIA
- Randall W Knapmeyer to Pks Advisory Services, LLCJul 17, 2013 · Other
- Michael T Moore to Horter Investment Management, LLCAug 5, 2009 · Other
- Debora Ann Caley to Riverpoint Capital Management, Inc.Jan 21, 2005 · Other
Joined, latest
- Andrew Charles Becker from J.J.B. Hilliard, W.L. Lyons, LLCOct 5, 2016 · Other
- Randall W Knapmeyer from Fifth Third Securities, Inc.Jul 1, 2011 · Other
- Debora Ann Caley from Charles Schwab & Co., Inc.Nov 12, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Ep Wealth AdvisorsApr 25, 2025 · Ft Wright, Ky · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Andrew Becker · Member/Ownercontrolsince 01/2024 · owns 10% to 25%
- Joseph Ted Funk · Member/Ownercontrolsince 01/1999 · owns 5% to 10%
- Carl David Macke · Member/Ownercontrolsince 01/2015 · owns less than 5%
- David Brian Malthouse · Member/Ownercontrolsince 05/2005 · owns 5% to 10%
- Herbert Daniel Owens · Member/Ownercontrolsince 06/2011 · owns less than 5%
- Elizabeth Kelly Owens · Member/Ownercontrolsince 01/2020 · owns 10% to 25%
- Louis Michael Simon · Member/Presidentcontrolsince 04/1999 · owns 50% to 75%
- James Andrew Vonlehman · Member/Ownercontrolsince 01/1999 · owns less than 5%
- Michelle Anne Haggerty · Chief Compliance Officersince 03/2009 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Ft Mitchell, Ky | 0 | 0 | 0 | ||
| Ft Wright, Ky | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,198 to 446Dec 13, 2024 to Mar 5, 2025
- Advisory employees · 4 to 3Dec 13, 2024 to Mar 5, 2025
- Advisory activities · 4 to 3Dec 13, 2024 to Mar 5, 2025
- HNW clients · 97 to 98Dec 13, 2024 to Mar 5, 2025
- Individual clients · 371 to 340Dec 13, 2024 to Mar 5, 2025
- Pension plan clients · 5 to 4Dec 13, 2024 to Mar 5, 2025
- Employees · 6 to 5Dec 13, 2024 to Mar 5, 2025
- State-registered IARs · 4 to 3Dec 13, 2024 to Mar 5, 2025
- Discretionary RAUM · $399M to $406MDec 13, 2024 to Mar 5, 2025
- HNW RAUM · $256M to $289MDec 13, 2024 to Mar 5, 2025
- Individual RAUM · $95.9M to $92.6MDec 13, 2024 to Mar 5, 2025
- Pension RAUM · $9.4M to $10.0MDec 13, 2024 to Mar 5, 2025
- RAUM · $399M to $406MDec 13, 2024 to Mar 5, 2025
- Accounts · 444 to 1,198Mar 30, 2023 to Mar 7, 2024
- Advisory employees · 5 to 4Mar 30, 2023 to Mar 7, 2024
- Corporate clients · 2 to 3Mar 30, 2023 to Mar 7, 2024
- HNW clients · 90 to 97Mar 30, 2023 to Mar 7, 2024
- Individual clients · 344 to 371Mar 30, 2023 to Mar 7, 2024
- Employees · 7 to 6Mar 30, 2023 to Mar 7, 2024
- State-registered IARs · 5 to 4Mar 30, 2023 to Mar 7, 2024
- Discretionary RAUM · $360M to $399MMar 30, 2023 to Mar 7, 2024
- HNW RAUM · $226M to $256MMar 30, 2023 to Mar 7, 2024
- Individual RAUM · $76.6M to $95.9MMar 30, 2023 to Mar 7, 2024
- Pension RAUM · $8.0M to $9.4MMar 30, 2023 to Mar 7, 2024
- RAUM · $360M to $399MMar 30, 2023 to Mar 7, 2024
- Accounts · 985 to 444Mar 25, 2022 to Mar 30, 2023
- Corporate clients · 3 to 2Mar 25, 2022 to Mar 30, 2023
- HNW clients · 110 to 90Mar 25, 2022 to Mar 30, 2023
- Individual clients · 292 to 344Mar 25, 2022 to Mar 30, 2023
- Pension plan clients · 6 to 5Mar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $403M to $360MMar 25, 2022 to Mar 30, 2023
- HNW RAUM · $264M to $226MMar 25, 2022 to Mar 30, 2023
- Individual RAUM · $70.3M to $76.6MMar 25, 2022 to Mar 30, 2023
- Pension RAUM · $10.0M to $8.0MMar 25, 2022 to Mar 30, 2023
- RAUM · $403M to $360MMar 25, 2022 to Mar 30, 2023
- Related insurance company · true to falseMar 25, 2022 to Mar 30, 2023
- Accounts · 951 to 985Dec 3, 2021 to Mar 25, 2022
- Corporate clients · 4 to 3Dec 3, 2021 to Mar 25, 2022
- HNW clients · 91 to 110Dec 3, 2021 to Mar 25, 2022
- Individual clients · 285 to 292Dec 3, 2021 to Mar 25, 2022
Signals
22 dated events
- Alphamark Advisors, Llc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $405.8M)May 2, 2025 · Left the SEC roster · derived
- Michael Louis Simon left Alphamark Advisors, Llc for Ep Wealth Advisors (registered 2025-11-06)Apr 25, 2025 · Advisor changed firm · fact
- Andrew Charles Becker left Alphamark Advisors, Llc for Ep Wealth Advisors (registered 2025-04-24)Apr 25, 2025 · Advisor changed firm · fact
- Kelly Elizabeth Owens left Alphamark Advisors, Llc for Ep Wealth Advisors (registered 2025-06-26)Apr 25, 2025 · Advisor changed firm · fact
- Alphamark Advisors, LLC's advisors moved to EP Wealth Advisors (FT Wright, KY): 3 of 3 registered, on the same dayApr 25, 2025 · Firm absorbed (people side) · derived
- Anthony William Frambes left Alphamark Advisors, Llc for Horter Investment Management, Llc (registered 2024-07-25)Jul 23, 2024 · Advisor changed firm · fact
- Adrian Christian Lucas (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2023-03-30, absent 2024-03-07)Mar 7, 2024 · Control person left · inference
- Charles Andrew Becker (Member/Owner) appeared on Schedule A of Alphamark Advisors, LlcMar 7, 2024 · Control person joined · fact
- Lynn Curtis Wenzler (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Ann Beth Vice (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Vallandingham Jami Hoskins (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Michael Adam Davey (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Lynn Kerri Richardson (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- L Stephanie Allgeyer (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- M Andrew Donohoe (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- B Emir Hodzic (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- M Lisa Riccardi (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- William Mark Weber (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2019-11-15, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- M Lisa Riccardi (Member/Owner) appeared on Schedule A of Alphamark Advisors, LlcMar 26, 2020 · Control person joined · fact
- Elizabeth Kelly Owens (Member/Owner) appeared on Schedule A of Alphamark Advisors, LlcMar 26, 2020 · Control person joined · fact
- B Emir Hodzic (Member/Owner) appeared on Schedule A of Alphamark Advisors, LlcMar 29, 2019 · Control person joined · fact
- Jay Thomas Ruberg (Member/Owner) no longer on Schedule A of Alphamark Advisors, Llc (listed 2018-03-28, absent 2019-03-29)Mar 29, 2019 · 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.
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