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
T••• A•••• M••••••••• L••
Latest filing Mar 10, 2026
First filing on the tape Mar 28, 2012 · 24 filings
SEC status approved since May 15, 1998
RAUM
$6.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.7%
$227M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
18
6 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$6.2B as of Mar 10, 2026
Mar 28, 2012$3.2B then
HNW client RAUM$227M as of Mar 10, 2026
Mar 20, 2018$213M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Mar 1, 20135 then
Employees (5.A)18 as of Mar 10, 2026
Mar 1, 201323 then
Private funds: no history
RAUM +21% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $59.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 81%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 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
- +2.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, publications, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$4.9B79%
- Other investment advisers$931M15%
- High-net-worth individuals$227M3.7%
- Charitable organizations$99.6M1.6%
- Pension and profit-sharing plans$15.9M0.3%
- Individual clients
- 0reported
- HNW clients
- 43reported
- Pension plan clients
- 1reported
- Charitable clients
- 6reported
- Accounts
- 104reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $14.9M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.04 fund_share=0.15 institutional_share=0.81 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 |
|---|---|---|---|---|
| C•••••• M••••• S••••Chartered Financial Analyst | Louisville, Ky | Jan 21, 2010 | 35 y | 1 |
| J••• J•••• W••••Chartered Financial Analyst | Louisville, Ky | Jan 21, 2010 | 38 y | 1 |
| J••• C••••• H•••••Chartered Financial Analyst | Louisville, Ky | Feb 11, 2015 | 24 y | 2 |
| S•••• C••••••••• S••••Chartered Financial Analyst | Louisville, Ky | Jun 13, 2023 | 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
none on the tape
Joined, latest
- J••• C••••• H••••• from T••• I••••••••• A•••••••• I•••Feb 11, 2015 · Other
- C•••••• M••••• S•••• from T••• I••••••••• A•••••••• I•••Jan 21, 2010 · Other
- J••• J•••• W•••• from T••• I••••••••• A•••••••• I•••Jan 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• J•••••••• J••• · Secretary, Coocontrolsince 05/2009 · owns less than 5%
- H•••••• J•••• C••••• · Senior Portfolio Manager, Directorcontrolsince 05/2009 · owns 10% to 25%
- J••••••• J••••• R•••••• · Chief Compliance Officer, Cfo, Directorcontrolsince 05/1998 · owns 5% to 10%
- P••••• J•••• S•••••• · Managing Director, Marketingcontrolsince 05/2009 · owns 5% to 10%
- S••••• C••••••• M••••• · President, Cio, Directorcontrolsince 05/2009 · owns 25% to 50%
- S••••• S••••• C••••••••• · Senior Portfolio Manager, Directorcontrolsince 06/2022 · owns less than 5%
- W••••• J•••• J•••• · Senior Portfolio Manager, Director Of Research, Directorcontrolsince 05/2009 · owns 10% to 25%
- B••••••• C••••••••• A••••• · Marketing Directorsince 10/2014 · owns less than 5%
- P•••••• R•••••• P••• · Sole Ownersince 05/2009 · owns 75% or more of C•••••••• L••
Entity owners
- C•••••••• L•• · Member Of LLCdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 106 to 104Mar 20, 2025 to Mar 10, 2026
- Advisory activities · 5 to 4Mar 20, 2025 to Mar 10, 2026
- Charity clients · 8 to 6Mar 20, 2025 to Mar 10, 2026
- HNW clients · 42 to 43Mar 20, 2025 to Mar 10, 2026
- Discretionary RAUM · $5.1B to $6.2BMar 20, 2025 to Mar 10, 2026
- HNW RAUM · $201M to $227MMar 20, 2025 to Mar 10, 2026
- Pension RAUM · $13.1M to $15.9MMar 20, 2025 to Mar 10, 2026
- RAUM · $5.1B to $6.2BMar 20, 2025 to Mar 10, 2026
- Wrap assets (manager) · $13.0M to $14.9MMar 20, 2025 to Mar 10, 2026
- Accounts · 105 to 106Sep 24, 2024 to Mar 20, 2025
- Charity clients · 13 to 8Sep 24, 2024 to Mar 20, 2025
- HNW clients · 40 to 42Sep 24, 2024 to Mar 20, 2025
- Pension plan clients · unset to 1.0Sep 24, 2024 to Mar 20, 2025
- Employees · 19 to 18Sep 24, 2024 to Mar 20, 2025
- Financial planning clients · unset to Sep 24, 2024 to Mar 20, 2025
- Discretionary RAUM · $4.5B to $5.1BSep 24, 2024 to Mar 20, 2025
- HNW RAUM · $178M to $201MSep 24, 2024 to Mar 20, 2025
- Pension RAUM · $40.8M to $13.1MSep 24, 2024 to Mar 20, 2025
- RAUM · $4.5B to $5.1BSep 24, 2024 to Mar 20, 2025
- Wrap assets (manager) · $11.8M to $13.0MSep 24, 2024 to Mar 20, 2025
- Accounts · 108 to 105Mar 28, 2023 to Mar 22, 2024
- HNW clients · 42 to 40Mar 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $4.0B to $4.5BMar 28, 2023 to Mar 22, 2024
- HNW RAUM · $183M to $178MMar 28, 2023 to Mar 22, 2024
- Pension RAUM · $12.4M to $40.8MMar 28, 2023 to Mar 22, 2024
- RAUM · $4.0B to $4.5BMar 28, 2023 to Mar 22, 2024
- Wrap assets (manager) · $11.3M to $11.8MMar 28, 2023 to Mar 22, 2024
- Accounts · 103 to 108Mar 22, 2022 to Mar 28, 2023
- Charity clients · 14 to 13Mar 22, 2022 to Mar 28, 2023
- HNW clients · 38 to 42Mar 22, 2022 to Mar 28, 2023
- Discretionary RAUM · $4.5B to $4.0BMar 22, 2022 to Mar 28, 2023
- HNW RAUM · $189M to $183MMar 22, 2022 to Mar 28, 2023
- Pension RAUM · $14.2M to $12.4MMar 22, 2022 to Mar 28, 2023
- RAUM · $4.5B to $4.0BMar 22, 2022 to Mar 28, 2023
- Wrap assets (manager) · $13.0M to $11.3MMar 22, 2022 to Mar 28, 2023
- Accounts · 110 to 103Mar 24, 2021 to Mar 22, 2022
- Advisory activities · 6 to 5Mar 24, 2021 to Mar 22, 2022
- HNW clients · 39 to 38Mar 24, 2021 to Mar 22, 2022
- Pooled vehicle clients · 1 to 0Mar 24, 2021 to Mar 22, 2022
- Employees · 20 to 19Mar 24, 2021 to Mar 22, 2022
Signals
1 dated events
- C••••••••• S•••• S•••• (Senior Portfolio Manager, Director) appeared on Schedule A of T••• A•••• M••••••••• L••Mar 28, 2023 · Control person joined · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (502)-585-3121reportedpublic record, Form ADV, Mar 10, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026