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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R•••••• C•••••• M••••••••• L••
Latest filing Apr 17, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Oct 15, 1999
RAUM
$275M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
90%
$248M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$68.8M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$275M as of Apr 17, 2026
Mar 30, 2012$271M then
HNW client RAUM$194M as of Apr 17, 2026
Mar 27, 2018$182M then
State-registered IARs (5.B.3)4 as of Apr 17, 2026
Mar 27, 20130 then
Employees (5.A)4 as of Apr 17, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +9.4% over the last fiscal year+9.3% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Apr 17, 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
- i••••••••• 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
- $68.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $453,820derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
- High-net-worth individuals$194M71%
- Individuals$53.8M20%
- Charitable organizations$27.2M9.9%
- Individual clients
- 220reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 606reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| B•••• H•••••• M•••••• | Vero Beach, Fl | Feb 17, 1999 | 40 y | 0 |
| B••••• N••• L••••••• | Lexington, Ky | Jan 5, 2011 | 23 y | 0 |
| K•••• W••• D•• | Lexington, Ky | Jul 5, 2021 | 31 y | 0 |
| H•••• L••••• R•••••• | Lexington, Ky | May 11, 2023 | 44 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
- D•••• G••• D••••• to M••••••• W••••• M••••••••• L••Nov 12, 2020 · RIA to RIA
- J••••• G••••• S•••••• to M••••••• W••••• M••••••••• L••Nov 12, 2020 · RIA to RIA
- G•••••• L•• H•••••• to I••••••••• F•••••••• P•••••••Jan 14, 2014 · Other
- C•••••••• E••••••• E••••••• to I••••••••• F•••••••• P•••••••Jul 25, 2012 · Other
Joined, latest
- J••••• G••••• S•••••• from V••••••• W••••• M••••••••• L••Jun 11, 2014 · Other
- G•••••• L•• H•••••• from M••••• S••••••Nov 17, 2009 · Other
- C•••••••• E••••••• E••••••• from M••••• S••••••Aug 19, 2009 · Other
- D•••• G••• D••••• from U•• F•••••••• S••••••• I•••Jul 23, 2004 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••••• W••••• M••••••••• L••Nov 12, 2020 · Lexington, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• H••••• L••••• · President/Chief Compliance Officercontrolsince 09/1991 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 587 to 606Mar 14, 2025 to Mar 26, 2026
- HNW clients · 49 to 69Mar 14, 2025 to Mar 26, 2026
- Individual clients · 228 to 220Mar 14, 2025 to Mar 26, 2026
- Other offices · 0 to 1Mar 14, 2025 to Mar 26, 2026
- Discretionary RAUM · $244M to $268MMar 14, 2025 to Mar 26, 2026
- HNW RAUM · $152M to $194MMar 14, 2025 to Mar 26, 2026
- Individual RAUM · $65.8M to $53.8MMar 14, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $7.2M to $7.2MMar 14, 2025 to Mar 26, 2026
- RAUM · $251M to $275MMar 14, 2025 to Mar 26, 2026
- Accounts · 606 to 587Mar 25, 2024 to Mar 14, 2025
- Charity clients · 9 to 10Mar 25, 2024 to Mar 14, 2025
- HNW clients · 52 to 49Mar 25, 2024 to Mar 14, 2025
- Individual clients · 226 to 228Mar 25, 2024 to Mar 14, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 14, 2025
- Discretionary RAUM · $246M to $244MMar 25, 2024 to Mar 14, 2025
- HNW RAUM · $148M to $152MMar 25, 2024 to Mar 14, 2025
- Individual RAUM · $61.0M to $65.8MMar 25, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $6.1M to $7.2MMar 25, 2024 to Mar 14, 2025
- RAUM · $252M to $251MMar 25, 2024 to Mar 14, 2025
- Accounts · 622 to 606Mar 29, 2023 to Mar 25, 2024
- Charity clients · 14 to 9Mar 29, 2023 to Mar 25, 2024
- Individual clients · 242 to 226Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $211M to $246MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $132M to $148MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · $48.8M to $61.0MMar 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $0 to $6.1MMar 29, 2023 to Mar 25, 2024
- RAUM · $211M to $252MMar 29, 2023 to Mar 25, 2024
- Accounts · 975 to 622Jun 3, 2022 to Mar 29, 2023
- Charity clients · 24 to 14Jun 3, 2022 to Mar 29, 2023
- HNW clients · 56 to 52Jun 3, 2022 to Mar 29, 2023
- Individual clients · 224 to 242Jun 3, 2022 to Mar 29, 2023
- Discretionary RAUM · $236M to $211MJun 3, 2022 to Mar 29, 2023
- HNW RAUM · $162M to $132MJun 3, 2022 to Mar 29, 2023
- Individual RAUM · $51.4M to $48.8MJun 3, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $7.8M to $0Jun 3, 2022 to Mar 29, 2023
- RAUM · $243M to $211MJun 3, 2022 to Mar 29, 2023
- Accounts · 939 to 975Mar 31, 2021 to Mar 30, 2022
- Advisory employees · 5 to 4Mar 31, 2021 to Mar 30, 2022
- BD registered reps · 1 to 0Mar 31, 2021 to Mar 30, 2022
- Charity clients · 25 to 24Mar 31, 2021 to Mar 30, 2022
Signals
3 dated events
- R•••••• C•••••• M••••••••• L•• reported RAUM $279.4M, down 54% from $612.1M (2020-07-29 to 2020-11-12)Nov 12, 2020 · RAUM change · derived
- Glen David Dowell (Partner, Secretary, Treasurer) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2020-07-29, absent 2020-11-12)Nov 12, 2020 · Control person left · inference
- George Justin Sautter (Partner) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2020-07-29, absent 2020-11-12)Nov 12, 2020 · 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 email
- info@russcap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- yk@russcap.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-254-5225reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-568-5225reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-254-4329reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- RUSSCAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 859-254-5225reportedpublic record, Form ADV, Apr 17, 2026
- Team page
- russcap.com/our-peoplereportedpublished 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
- $68.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026