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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Former SEC-registered adviser
D• S•••• N•••• I•••
Latest filing Apr 8, 2025
First filing on the tape Mar 20, 2012 · 18 filings
SEC status approved since Mar 6, 2001
RAUM
$352M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$339M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$352M as of Apr 8, 2025
Mar 20, 2012$143M then
HNW client RAUM$261M as of Apr 8, 2025
Feb 23, 2018$181M then
State-registered IARs (5.B.3)6 as of Apr 8, 2025
Mar 20, 20120 then
Employees (5.A)10 as of Apr 8, 2025
Mar 13, 20134 then
Private funds: no history
RAUM +16% over the last fiscal year+1.8% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Apr 8, 2025; every figure names its basis
- RAUM per advisor
- $58.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $263,694derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 3.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$261M74%
- Individuals$78.0M22%
- Charitable organizations$11.0M3.1%
- Corporations and businesses$2.2M0.6%
- Individual clients
- 273reported
- HNW clients
- 124reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 1,335reported
- 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
6 left, 0 joined in 12 months
net -6 in 12 months0 left in 90 days0 joined in 90 days6 left over 36 months
Left, latest
- D•••• S•••• N••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- C••••••••• M••••• F•••• S••••••••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- J••• A•••••••• V•••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- J••••• G••••• Z••••••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- R•••••• L••••••• C•••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- M•••••• P••• R•••• to M••••• G••••• A••••••• I•••Nov 3, 2025 · RIA to RIA
- B•••••• C••• F••••• to A••••••••• W••••• M••••••••• L••Nov 5, 2021 · Other
Joined, latest
- M•••••• P••• R•••• from S••••••• F•••••••• A•••••••• L•••• L•••••Nov 9, 2021 · RIA to RIA
- B•••••• C••• F••••• from J••••• H•••••••• W••• L••••• L••Mar 30, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for M••••• G••••• A••••••• I•••Nov 3, 2025 · Lexington, Ky · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N•••• D••••• S•••• · Director / Presidentcontrolsince 08/1995 · owns 50% to 75%
- Z•••••••• J•••••• G••••• · Director / Vice President/ Chief Compliance Officercontrolsince 05/2000 · owns 25% to 50%
- A••••• R••••• · Directorsince 11/2013 · owns less than 5%
- C••••• R••••••• L••••••• · Shareholdersince 07/2017 · 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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 0 | 0 | 4 | ||
| Louisville, Ky | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Louisville, KY1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jan 14, 2025 to Apr 8, 2025
- Accounts · 1,333 to 1,335Mar 12, 2024 to Jan 14, 2025
- Charity clients · 4 to 5Mar 12, 2024 to Jan 14, 2025
- HNW clients · 122 to 124Mar 12, 2024 to Jan 14, 2025
- Individual clients · 269 to 273Mar 12, 2024 to Jan 14, 2025
- Discretionary RAUM · $293M to $338MMar 12, 2024 to Jan 14, 2025
- HNW RAUM · $230M to $261MMar 12, 2024 to Jan 14, 2025
- Individual RAUM · $64.3M to $78.0MMar 12, 2024 to Jan 14, 2025
- Non-discretionary RAUM · $11.2M to $14.3MMar 12, 2024 to Jan 14, 2025
- RAUM · $304M to $352MMar 12, 2024 to Jan 14, 2025
- Accounts · 1,279 to 1,333Mar 10, 2023 to Mar 12, 2024
- Advisory activities · 5 to 4Mar 10, 2023 to Mar 12, 2024
- Corporate clients · 1 to 2Mar 10, 2023 to Mar 12, 2024
- HNW clients · 114 to 122Mar 10, 2023 to Mar 12, 2024
- Individual clients · 264 to 269Mar 10, 2023 to Mar 12, 2024
- Employees · 12 to 10Mar 10, 2023 to Mar 12, 2024
- Discretionary RAUM · $259M to $293MMar 10, 2023 to Mar 12, 2024
- HNW RAUM · $199M to $230MMar 10, 2023 to Mar 12, 2024
- Individual RAUM · $62.4M to $64.3MMar 10, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $10.1M to $11.2MMar 10, 2023 to Mar 12, 2024
- RAUM · $269M to $304MMar 10, 2023 to Mar 12, 2024
- Accounts · 1,359 to 1,279Mar 31, 2022 to Mar 10, 2023
- Charity clients · 5 to 4Mar 31, 2022 to Mar 10, 2023
- Corporate clients · 2 to 1Mar 31, 2022 to Mar 10, 2023
- HNW clients · 218 to 114Mar 31, 2022 to Mar 10, 2023
- Individual clients · 317 to 264Mar 31, 2022 to Mar 10, 2023
- Employees · 10 to 12Mar 31, 2022 to Mar 10, 2023
- State-registered IARs · 5 to 6Mar 31, 2022 to Mar 10, 2023
- Discretionary RAUM · $310M to $259MMar 31, 2022 to Mar 10, 2023
- HNW RAUM · $260M to $199MMar 31, 2022 to Mar 10, 2023
- Individual RAUM · $63.8M to $62.4MMar 31, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $24.2M to $10.1MMar 31, 2022 to Mar 10, 2023
- RAUM · $334M to $269MMar 31, 2022 to Mar 10, 2023
- Accounts · 1,241 to 1,359Mar 8, 2021 to Mar 31, 2022
- Advisory employees · 5 to 6Mar 8, 2021 to Mar 31, 2022
- Charity clients · 3 to 5Mar 8, 2021 to Mar 31, 2022
- HNW clients · 142 to 218Mar 8, 2021 to Mar 31, 2022
- Individual clients · 232 to 317Mar 8, 2021 to Mar 31, 2022
- Employees · 7 to 10Mar 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $266M to $310MMar 8, 2021 to Mar 31, 2022
Signals
8 dated events
- D• S•••• N•••• I••• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $352.0M)Dec 20, 2025 · Left the SEC roster · derived
- C••••••••• M••••• F•••• S••••••••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-09)Nov 3, 2025 · Advisor changed firm · fact
- J••••• G••••• Z••••••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-22)Nov 3, 2025 · Advisor changed firm · fact
- D•••• S•••• N••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-28)Nov 3, 2025 · Advisor changed firm · fact
- J••• A•••••••• V•••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-16)Nov 3, 2025 · Advisor changed firm · fact
- R•••••• L••••••• C•••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-14)Nov 3, 2025 · Advisor changed firm · fact
- M•••••• P••• R•••• left D• S•••• N•••• I••• for M••••• G••••• A••••••• I••• (registered 2025-04-09)Nov 3, 2025 · Advisor changed firm · fact
- D• S•••• N•••• I•••'s advisors moved to M••••• G••••• A••••••• I••• (Lexington, KY): 6 of 6 registered, on the same dayNov 3, 2025 · Firm absorbed (people side) · derived
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