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

Peppertree Partners

Former SEC-registered adviserBeachwood, OhioCRD 111022SEC 801-60525IAPD
Legal name Peppertree Partners, LLC
Latest filing May 10, 2017
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
$64.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$16.2M gross assets
History
12 filings and snapshots on the tape
RAUM$64.1M as of Mar 29, 2017
Mar 30, 2012$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 30, 20120 then
Employees (5.A)0 as of Mar 29, 2017
Mar 26, 20130 then
Private funds1 as of Mar 29, 2017
Mar 30, 20124 then
RAUM -31% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 10, 2017; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$32.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$64.1M, 2 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$64.1M for 2 clientsreported
Compensation
% of AUM, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Peppertree Fund II, LPPrivate Equity Fund$12.4M10Mar 30, 2012
      Peppertree Special Venture Fund LLCPrivate Equity Fund$00Mar 30, 2012
      Peppertree Fund, LPPrivate Equity Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Andrew Stephen Baker · Vice Presidentcontrol
        since 11/2008 · owns less than 5%
      • Michele Hawkins · Chief Compliance Officercontrol
        since 06/2012 · owns less than 5%
      • Michael Roger Lanham · Senior Vice President, Co-Chief Investment Officercontrol
        since 04/2016 · owns less than 5%
      • David Jeffrey Meek · Treasurercontrol
        since 03/2010 · owns less than 5%
      • David Jonathan Niemeyer · Secretarycontrol
        since 09/2012 · owns less than 5%
      • Sembach Maribeth Rahe · Presidentcontrol
        since 11/2008 · owns less than 5%
      • Matthew Brendan White · Senior Vice President, Co-Chief Investment Officercontrol
        since 04/2016 · owns less than 5%
      Entity owners
      • Fort Washington Investment Advisors Inc · Parent
        direct · owns 75% or more
      • The Western And Southern Life Insurance Company · Parent
        indirect · owns 75% or more of Western & Southern Investment Holdings, LLC
      • Western & Southern Financial Group, Inc. · Parent
        indirect · owns 75% or more of The Western And Southern Life Insurance Company
      • Western & Southern Investment Holdings, LLC · Parent
        indirect · owns 75% or more of Fort Washington Investment Advisors, Inc.
      • Western & Southern Mutual Holding Company · Parent
        indirect · owns 75% or more of Western-Southern Financial Group
      Related persons
      Schedule D 7.A
      • Buckeye Venture Partners, LLC
        pooled vehicle sponsory
      • Bvp Neo, LLC
        pooled vehicle sponsory
      • Eagle Realty Capital Partners, LLC
        investment adviserpooled vehicle sponsorn
      • Fort Washington Capital Partners, LLC
        pooled vehicle sponsorn
      • Fort Washington Fixed Income, LLC
        pooled vehicle sponsorn
      • Fort Washington Global Alpha Gp LLC
        pooled vehicle sponsorn
      • Fort Washington Investment Advisors Inc
        investment adviserbankpooled vehicle sponsoryRAUM $93B
      • Fwpei Ix Gp, LLC
        pooled vehicle sponsorn
      • Fwpei V Gp, LLC
        pooled vehicle sponsorn
      • Fwpei Vi Gp, LLC
        pooled vehicle sponsorn
      • Fwpei Vii Gp, LLC
        pooled vehicle sponsorn
      • Fwpei Viii Gp, LLC
        pooled vehicle sponsorn
      • Fwpeo II Gp, LLC
        pooled vehicle sponsorn
      • Fwpeo III Gp, LLC
        pooled vehicle sponsorn
      • Touchstone Advisors Inc
        investment adviserbankpooled vehicle sponsornRAUM $31B
      • Touchstone Securities, Inc.
        broker-dealern
      • Tri-State Ventures II, LLC
        pooled vehicle sponsorn
      • Tri-State Ventures, LLC
        pooled vehicle sponsorn
      • W&S Brokerage Services, Inc.
        broker-dealernRAUM $257M
      Advisers that list Peppertree Partners as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 3 to 1
        Apr 28, 2017 to May 10, 2017
      • Private funds · 1 to 3
        Mar 29, 2017 to Apr 28, 2017
      • Accounts · 4 to 2
        Mar 30, 2016 to Mar 29, 2017
      • Assets in custody · $93.5M to $64.1M
        Mar 30, 2016 to Mar 29, 2017
      • Private funds · 3 to 1
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $93.5M to $64.1M
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $93.5M to $64.1M
        Mar 30, 2016 to Mar 29, 2017
      • Assets in custody · $109M to $93.5M
        Mar 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $109M to $93.5M
        Mar 27, 2015 to Mar 30, 2016
      • RAUM · $109M to $93.5M
        Mar 27, 2015 to Mar 30, 2016
      • Assets in custody · $119M to $109M
        Dec 4, 2014 to Mar 27, 2015
      • Discretionary RAUM · $119M to $109M
        Dec 4, 2014 to Mar 27, 2015
      • RAUM · $119M to $109M
        Dec 4, 2014 to Mar 27, 2015
      • Assets in custody · $125M to $119M
        Jun 7, 2013 to Mar 28, 2014
      • Discretionary RAUM · $125M to $119M
        Jun 7, 2013 to Mar 28, 2014
      • RAUM · $125M to $119M
        Jun 7, 2013 to Mar 28, 2014
      • Assets in custody · $132M to $125M
        Mar 26, 2013 to Jun 7, 2013
      • Discretionary RAUM · $124M to $125M
        Mar 26, 2013 to Jun 7, 2013
      • RAUM · $124M to $125M
        Mar 26, 2013 to Jun 7, 2013
      • Discretionary RAUM · $132M to $124M
        Jan 24, 2013 to Mar 26, 2013
      • RAUM · $132M to $124M
        Jan 24, 2013 to Mar 26, 2013
      • Related bank · false to true
        Jan 24, 2013 to Mar 26, 2013
      • Employees · unset to 0.0
        Jul 9, 2012 to Jan 24, 2013
      • Private funds · 4 to 3
        Jul 9, 2012 to Jan 24, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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