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
F•••••••• R•••••
Legal name P••••••• C••••• F•••••••• A•••••••• L••
Latest filing Jan 20, 2026
First filing on the tape Mar 30, 2012 · 14 filings
SEC status approved since Jun 1, 2021
RAUM
$211M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$42.3M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$211M as of Jan 20, 2026
Mar 30, 2012$78.2M then
HNW client RAUM$158M as of Jan 20, 2026
Mar 30, 2022$136M then
State-registered IARs (5.B.3)6 as of Jan 20, 2026
Mar 30, 20120 then
Employees (5.A)8 as of Jan 20, 2026
Mar 30, 20225 then
Private funds: no history
RAUM +19% over the last fiscal year+18% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jan 20, 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
- $42.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $346,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$158M75%
- Individuals$53.5M25%
- Individual clients
- 131reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 610reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• H••••• H•••••Certified Financial Planner | Cincinnati, Oh | Jan 2, 2003 | 30 y | 0 |
| S••••• E• M•••••Certified Financial Planner | Cincinnati, Oh | Sep 4, 2018 | 24 y | 0 |
| R••••• W•••••• H•••••Certified Financial Planner | Cincinnati, Oh | May 18, 2021 | 10 y | 0 |
| B••••••• A•••••••• D•••••Certified Financial Planner | Cincinnati, Oh | Jul 15, 2021 | 10 y | 1 |
| B•••• N•• M•••• | Cincinnati, Oh | Jan 21, 2025 | 15 y | 2 |
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
- B•••• N•• M•••• from C••••••Jan 21, 2025 · RIA to RIA
- B••••••• A•••••••• D••••• from A••••••••• F•••••••• S•••••••• L••Jul 15, 2021 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• C••••••••• H••••• · Member, Chief Compliance Officercontrolsince 07/2002 · owns 75% or more
- H•••••• R•••••• W•••••• · Membersince 01/2022 · 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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 523 to 610Sep 18, 2025 to Jan 20, 2026
- Advisory employees · 5 to 6Sep 18, 2025 to Jan 20, 2026
- HNW clients · 46 to 57Sep 18, 2025 to Jan 20, 2026
- Individual clients · 127 to 131Sep 18, 2025 to Jan 20, 2026
- Employees · 7 to 8Sep 18, 2025 to Jan 20, 2026
- State-registered IARs · 5 to 6Sep 18, 2025 to Jan 20, 2026
- Discretionary RAUM · $173M to $206MSep 18, 2025 to Jan 20, 2026
- HNW RAUM · $121M to $158MSep 18, 2025 to Jan 20, 2026
- Individual RAUM · $57.6M to $53.5MSep 18, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $5.1M to $5.2MSep 18, 2025 to Jan 20, 2026
- RAUM · $178M to $211MSep 18, 2025 to Jan 20, 2026
- Accounts · 494 to 523Aug 15, 2024 to Mar 31, 2025
- Business name · P••••••• C••••• F•••••••• A•••••••• L•• to F•••••••• R•••••Aug 15, 2024 to Mar 31, 2025
- HNW clients · 39 to 46Aug 15, 2024 to Mar 31, 2025
- Individual clients · 128 to 127Aug 15, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Aug 15, 2024 to Mar 31, 2025
- Discretionary RAUM · $155M to $173MAug 15, 2024 to Mar 31, 2025
- HNW RAUM · $102M to $121MAug 15, 2024 to Mar 31, 2025
- Individual RAUM · $56.9M to $57.6MAug 15, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.2M to $5.1MAug 15, 2024 to Mar 31, 2025
- RAUM · $159M to $178MAug 15, 2024 to Mar 31, 2025
- Accounts · 435 to 494Mar 17, 2023 to Feb 2, 2024
- HNW clients · 78 to 39Mar 17, 2023 to Feb 2, 2024
- Individual clients · 81 to 128Mar 17, 2023 to Feb 2, 2024
- Financial planning clients · 26-50 to 101-250Mar 17, 2023 to Feb 2, 2024
- Discretionary RAUM · $126M to $155MMar 17, 2023 to Feb 2, 2024
- HNW RAUM · $114M to $102MMar 17, 2023 to Feb 2, 2024
- Individual RAUM · $16.0M to $56.9MMar 17, 2023 to Feb 2, 2024
- Non-discretionary RAUM · $4.0M to $4.2MMar 17, 2023 to Feb 2, 2024
- RAUM · $130M to $159MMar 17, 2023 to Feb 2, 2024
- Accounts · 436 to 435Jun 30, 2022 to Mar 17, 2023
- HNW clients · 66 to 78Jun 30, 2022 to Mar 17, 2023
- Individual clients · 113 to 81Jun 30, 2022 to Mar 17, 2023
- Assets in custody · 67000000.0 to unsetJun 30, 2022 to Mar 17, 2023
- Custody of client assets · true to falseJun 30, 2022 to Mar 17, 2023
- Employees · 5 to 7Jun 30, 2022 to Mar 17, 2023
- Discretionary RAUM · $146M to $126MJun 30, 2022 to Mar 17, 2023
- HNW RAUM · $136M to $114MJun 30, 2022 to Mar 17, 2023
- Individual RAUM · $26.8M to $16.0MJun 30, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $16.1M to $4.0MJun 30, 2022 to Mar 17, 2023
Signals
2 dated events
- John Martin Britton (Member, Chief Compliance Officer) no longer on Schedule A of F•••••••• R••••• (listed 2012-06-07, absent 2021-04-30)Apr 30, 2021 · Control person left · inference
- P••••••• C••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2021 · 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
- Website
- FinancialRounds.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-588-8080reportedpublic record, Form ADV, Jan 20, 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
- $42.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026