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
F•••••••• F••••••
Legal name F•••••••• F••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Mar 28, 2012 · 18 filings
SEC status approved since Jan 3, 2005
RAUM
$443M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$443M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$443M as of Mar 13, 2026
Mar 28, 2012$138M then
HNW client RAUM$434M as of Mar 13, 2026
Jan 29, 2018$235M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Mar 28, 20132 then
Employees (5.A)4 as of Mar 13, 2026
Mar 28, 20133 then
Private funds: no history
RAUM +8.9% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
- RAUM per advisor
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $566,032derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$434M98%
- Individuals$9.4M2.1%
- Individual clients
- 18reported
- HNW clients
- 96reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 783reported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• A••• O•••••Certified Financial Planner | Malvern, Pa | Feb 19, 2002 | 43 y | 0 |
| A•••• A••• O•••••Certified Financial Planner | Cincinnati, Oh | Mar 24, 2003 | 33 y | 0 |
| A••••• J••••• F•••••••Certified Financial Planner, Chartered Financial Analyst | Cincinnati, Oh | Mar 13, 2026 | 21 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
none on the tape
Joined, latest
- A••••• J••••• F••••••• from M•••••• A••••••• S•••••••• I•••Mar 13, 2026 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••• A••••• A••• · Chairman And Foundercontrolsince 01/2000 · owns less than 5%
- O•••••• A••••• A••• · President & Chief Compliance Officercontrolsince 10/2004 · owns 75% or more
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 | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Beavercreek, OH2 employees
- Malvern, PA2 employees
- Sarasota, FL2 employees
- York, ME1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 13, 2026RAUM per registered advisor of $147,734,333 against a peer median of $55,746,441 (3254 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
- low discretionary shareStatic outlier · filing Mar 13, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 793 to 783Mar 21, 2025 to Mar 13, 2026
- Advisory employees · 2 to 3Mar 21, 2025 to Mar 13, 2026
- HNW clients · 93 to 96Mar 21, 2025 to Mar 13, 2026
- Individual clients · 21 to 18Mar 21, 2025 to Mar 13, 2026
- Employees · 3 to 4Mar 21, 2025 to Mar 13, 2026
- HNW RAUM · $395M to $434MMar 21, 2025 to Mar 13, 2026
- Individual RAUM · $12.4M to $9.4MMar 21, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $407M to $443MMar 21, 2025 to Mar 13, 2026
- RAUM · $407M to $443MMar 21, 2025 to Mar 13, 2026
- HNW clients · 91 to 93Dec 3, 2024 to Mar 21, 2025
- Individual clients · 24 to 21Dec 3, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Dec 3, 2024 to Mar 21, 2025
- HNW RAUM · $377M to $395MDec 3, 2024 to Mar 21, 2025
- Individual RAUM · $14.8M to $12.4MDec 3, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $392M to $407MDec 3, 2024 to Mar 21, 2025
- RAUM · $392M to $407MDec 3, 2024 to Mar 21, 2025
- Accounts · 772 to 793Dec 3, 2024 to Mar 21, 2025
- Accounts · 742 to 772Mar 27, 2023 to Mar 11, 2024
- HNW clients · 82 to 91Mar 27, 2023 to Mar 11, 2024
- Individual clients · 28 to 24Mar 27, 2023 to Mar 11, 2024
- Financial planning clients · 51-100 to 101-250Mar 27, 2023 to Mar 11, 2024
- HNW RAUM · $293M to $377MMar 27, 2023 to Mar 11, 2024
- Individual RAUM · $16.6M to $14.8MMar 27, 2023 to Mar 11, 2024
- Non-discretionary RAUM · $309M to $392MMar 27, 2023 to Mar 11, 2024
- RAUM · $309M to $392MMar 27, 2023 to Mar 11, 2024
- Accounts · 727 to 742Mar 5, 2022 to Mar 27, 2023
- HNW clients · 80 to 82Mar 5, 2022 to Mar 27, 2023
- Individual clients · 21 to 28Mar 5, 2022 to Mar 27, 2023
- HNW RAUM · $333M to $293MMar 5, 2022 to Mar 27, 2023
- Individual RAUM · $14.2M to $16.6MMar 5, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $347M to $309MMar 5, 2022 to Mar 27, 2023
- RAUM · $347M to $309MMar 5, 2022 to Mar 27, 2023
- Accounts · 710 to 727Mar 23, 2021 to Mar 5, 2022
- HNW clients · 83 to 80Mar 23, 2021 to Mar 5, 2022
- Individual clients · 16 to 21Mar 23, 2021 to Mar 5, 2022
- HNW RAUM · $313M to $333MMar 23, 2021 to Mar 5, 2022
- Individual RAUM · $9.5M to $14.2MMar 23, 2021 to Mar 5, 2022
- Non-discretionary RAUM · $323M to $347MMar 23, 2021 to Mar 5, 2022
- RAUM · $323M to $347MMar 23, 2021 to Mar 5, 2022
- Accounts · 682 to 710Jun 29, 2020 to Mar 23, 2021
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.
How to reach
public business contact points only, each with its source
- Business email
- aao@finfree.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- al@finfree.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-503-9500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINFREE.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 513-697-6400reportedpublic record, Form ADV, Mar 13, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026