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

Greystone Investment Management, LLC

Former SEC-registered adviserCincinnati, OhioCRD 111084SEC 801-58150IAPD
Latest filing Mar 21, 2018
First filing on the tape Mar 24, 2012 · 10 filings
RAUM
$301M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$285M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$301M as of Mar 21, 2018
Mar 24, 2012$288M then
HNW client RAUM: $269M
State-registered IARs (5.B.3)3 as of Mar 21, 2018
Mar 25, 20133 then
Employees (5.A)7 as of Mar 21, 2018
Mar 25, 20137 then
Private funds: no history
RAUM +15% over the last fiscal year-4.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 21, 2018; every figure names its basis
RAUM per advisor
$100MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$925,256derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$269M89%
  • Charitable organizations$16.1M5.4%
  • Individuals$15.5M5.2%
Individual clients
59reported
HNW clients
74reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
325reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Wesner Ruth Adams · Chief Operating Officer, Member, Treasurercontrol
        since 03/2001 · owns 25% to 50%
      • Humphrey Sally Dempsey · Chief Executive Officer, Chief Compliance Officer And Membercontrol
        since 01/2012 · owns 10% to 25%
      • Frederic Peter Levin · Member, Chairmancontrol
        since 03/2001 · owns 25% to 50%
      • Robert Michael Reed · Member
        since 01/2012 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 336 to 325
        Mar 21, 2017 to Mar 21, 2018
      • HNW clients · unset to 74.0
        Mar 21, 2017 to Mar 21, 2018
      • Individual clients · unset to 59.0
        Mar 21, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Mar 21, 2017 to Mar 21, 2018
      • Discretionary RAUM · $260M to $301M
        Mar 21, 2017 to Mar 21, 2018
      • HNW RAUM · unset to 269079303.0
        Mar 21, 2017 to Mar 21, 2018
      • Individual RAUM · unset to 15506929.0
        Mar 21, 2017 to Mar 21, 2018
      • RAUM · $260M to $301M
        Mar 21, 2017 to Mar 21, 2018
      • Accounts · 397 to 336
        Nov 11, 2016 to Mar 21, 2017
      • Discretionary RAUM · $320M to $260M
        Nov 11, 2016 to Mar 21, 2017
      • RAUM · $320M to $260M
        Nov 11, 2016 to Mar 21, 2017
      • Advisory employees · 4 to 3
        Mar 28, 2016 to Jul 27, 2016
      • Employees · 8 to 7
        Mar 28, 2016 to Jul 27, 2016
      • State-registered IARs · 4 to 3
        Mar 28, 2016 to Jul 27, 2016
      • Accounts · 386 to 397
        Mar 13, 2015 to Mar 28, 2016
      • Employees · 7 to 8
        Mar 13, 2015 to Mar 28, 2016
      • Discretionary RAUM · $347M to $320M
        Mar 13, 2015 to Mar 28, 2016
      • RAUM · $347M to $320M
        Mar 13, 2015 to Mar 28, 2016
      • Accounts · 393 to 386
        Mar 20, 2014 to Mar 13, 2015
      • Discretionary RAUM · $330M to $347M
        Mar 20, 2014 to Mar 13, 2015
      • RAUM · $330M to $347M
        Mar 20, 2014 to Mar 13, 2015
      • Accounts · 414 to 393
        Mar 25, 2013 to Mar 20, 2014
      • Advisory employees · 3 to 4
        Mar 25, 2013 to Mar 20, 2014
      • State-registered IARs · 3 to 4
        Mar 25, 2013 to Mar 20, 2014
      • Discretionary RAUM · $281M to $330M
        Mar 25, 2013 to Mar 20, 2014
      • Non-discretionary RAUM · $3.0M to $0
        Mar 25, 2013 to Mar 20, 2014
      • RAUM · $284M to $330M
        Mar 25, 2013 to Mar 20, 2014
      • Accounts · 445 to 414
        Mar 24, 2012 to Mar 25, 2013
      • Advisory employees · unset to 3.0
        Mar 24, 2012 to Mar 25, 2013
      • Employees · unset to 7.0
        Mar 24, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 3.0
        Mar 24, 2012 to Mar 25, 2013
      • Discretionary RAUM · $285M to $281M
        Mar 24, 2012 to Mar 25, 2013
      • Non-discretionary RAUM · $2.7M to $3.0M
        Mar 24, 2012 to Mar 25, 2013
      • RAUM · $288M to $284M
        Mar 24, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      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