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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SEC-registered adviser
E••••• A••••••• O• K••••••• I••
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 36 filings
SEC status approved since Jan 12, 2018
RAUM
$142M
reported, Item 5.F
Discretionary
4.7%
of RAUM
Private clients
100%
$142M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$47.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$142M as of Mar 26, 2026
May 1, 2012$51.8M then
HNW client RAUM$45.9M as of Mar 26, 2026
Apr 2, 2018$69.6M then
State-registered IARs (5.B.3)3 as of Mar 26, 2026
Apr 2, 20181 then
Employees (5.A)3 as of Mar 26, 2026
Apr 2, 20188 then
Private funds: no history
RAUM +13% over the last fiscal year+10% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $47.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $267,163derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.7%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $120M, 114 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- Individuals$95.7M68%
- High-net-worth individuals$45.9M32%
- Individual clients
- 94reported
- HNW clients
- 20reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 530reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $120M for 114 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•• R•••••Certified Financial Planner | Lexington, Ky | Jan 14, 2022 | 12 y | 1 |
| K•••••• A••••••• L••••••• | Lexington, Ky | Mar 7, 2025 | 9 y | 0 |
| E••• M• F••••Certified Financial Planner | Lexington, Ky | Jan 7, 2026 | 12 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••••••• S•• M••••• to F•••• S••••• F••••••••May 3, 2021 · RIA to a state-registered adviser
Joined, latest
- E••• M• F•••• from J••• M••••• S••••••••• L••Jan 7, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• E•••• M• · Owner & Chief Compliance Officercontrolsince 06/2023 · owns 25% to 50%
- R•••••• F•• · Ownercontrolsince 06/2023 · owns 50% to 75%
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 | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 74.0% to 32.0% between the annual amendments of 2025-03-31 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 118 to 530Mar 31, 2025 to Mar 26, 2026
- HNW clients · 36 to 20Mar 31, 2025 to Mar 26, 2026
- Individual clients · 82 to 94Mar 31, 2025 to Mar 26, 2026
- Assets in custody · $5.0M to $120MMar 31, 2025 to Mar 26, 2026
- Discretionary RAUM · $5.0M to $6.6MMar 31, 2025 to Mar 26, 2026
- HNW RAUM · $92.9M to $45.9MMar 31, 2025 to Mar 26, 2026
- Individual RAUM · $32.1M to $95.7MMar 31, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $120M to $135MMar 31, 2025 to Mar 26, 2026
- RAUM · $125M to $142MMar 31, 2025 to Mar 26, 2026
- Accounts · 621 to 118Aug 21, 2024 to Mar 31, 2025
- Advisory employees · 2 to 3Aug 21, 2024 to Mar 31, 2025
- HNW clients · 32 to 36Aug 21, 2024 to Mar 31, 2025
- Individual clients · 91 to 82Aug 21, 2024 to Mar 31, 2025
- Assets in custody · $4.7M to $5.0MAug 21, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Aug 21, 2024 to Mar 31, 2025
- State-registered IARs · 2 to 3Aug 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $21.4M to $5.0MAug 21, 2024 to Mar 31, 2025
- HNW RAUM · $80.3M to $92.9MAug 21, 2024 to Mar 31, 2025
- Individual RAUM · $35.6M to $32.1MAug 21, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $94.5M to $120MAug 21, 2024 to Mar 31, 2025
- RAUM · $116M to $125MAug 21, 2024 to Mar 31, 2025
- Assets in custody · $22.1M to $4.7MMar 29, 2024 to Jun 18, 2024
- HQ city · WADDY to LEXINGTONMar 29, 2024 to Jun 18, 2024
- Accounts · 781 to 621Nov 7, 2023 to Mar 29, 2024
- HNW clients · 33 to 32Nov 7, 2023 to Mar 29, 2024
- Assets in custody · $6.2M to $22.1MNov 7, 2023 to Mar 29, 2024
- Employees · 4 to 3Nov 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $7.8M to $21.4MNov 7, 2023 to Mar 29, 2024
- HNW RAUM · $68.3M to $80.3MNov 7, 2023 to Mar 29, 2024
- Individual RAUM · $37.2M to $35.6MNov 7, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $97.7M to $94.5MNov 7, 2023 to Mar 29, 2024
- RAUM · $106M to $116MNov 7, 2023 to Mar 29, 2024
- Custody of client assets · false to trueAug 15, 2023 to Nov 7, 2023
- Advisory employees · 3 to 2Mar 31, 2023 to Jul 20, 2023
- Employees · 5 to 4Mar 31, 2023 to Jul 20, 2023
- State-registered IARs · 3 to 2Mar 31, 2023 to Jul 20, 2023
- Accounts · 754 to 781Jun 21, 2022 to Mar 31, 2023
- HNW clients · 49 to 33Jun 21, 2022 to Mar 31, 2023
- Individual clients · 92 to 91Jun 21, 2022 to Mar 31, 2023
- Assets in custody · $0 to $6.2MJun 21, 2022 to Mar 31, 2023
Signals
2 dated events
- Anthony Brian Guilliom (Founder/ Chief Compliance Officer) no longer on Schedule A of E••••• A••••••• O• K••••••• I•• (listed 2023-03-31, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- E••••• A••••••• O• K••••••• I•• filed its initial SEC registration (Form ADV)Dec 15, 2017 · 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
- Business phone
- 502-829-9244reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.e••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 502-829-9244reportedpublic record, Form ADV, Mar 26, 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
- $47.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026