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
C••••••••• F••••••••
Legal name C••••••••• F•••••••• M••••••••• G••••• L••
Latest filing Mar 17, 2026
First filing on the tape Mar 27, 2012 · 19 filings
SEC status approved since Apr 23, 2018
RAUM
$589M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
42%
$245M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$589M as of Mar 17, 2026
Mar 27, 2012$45.7M then
HNW client RAUM$165M as of Mar 17, 2026
Mar 30, 2020$43.7M then
State-registered IARs (5.B.3)5 as of Mar 17, 2026
Mar 26, 20194 then
Employees (5.A)6 as of Mar 17, 2026
Mar 26, 20196 then
Private funds: no history
RAUM +14% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $393,787derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- Pension and profit-sharing plans$343M58%
- High-net-worth individuals$165M28%
- Individuals$80.5M14%
- Individual clients
- 583reported
- HNW clients
- 112reported
- Pension plan clients
- 65reported
- Charitable clients
- n/areported
- Accounts
- 1,495reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.42 fund_share=0.0 institutional_share=0.58 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R••• B••• | Dublin, Oh | Jan 13, 2009 | 26 y | 2 |
| A••••• T••• R•••••••• | Dublin, Oh | Jan 13, 2009 | 31 y | 2 |
| E••••• S••••• B•••Certified Financial Planner, Chartered Financial Consultant | Dublin, Oh | Jan 13, 2009 | 31 y | 2 |
| J•••• M••• C••••Certified Financial Planner | Gallipolis, Oh | Oct 12, 2022 | 42 y | 5 |
| T••••• A••• E••••••Certified Financial Planner | Dublin, Oh | Feb 3, 2025 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J•••• M••• C•••• to L•••••• I•••••••••Apr 22, 2013 · Other
Joined, latest
- J•••• M••• C•••• from C•••••• A•••••••Oct 12, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• E•••••• S••••• · Member & Chief Compliance Officercontrolsince 11/2018 · owns 10% to 25%
- B•••• R•••••• A••••• · Membercontrolsince 12/2008 · owns 25% to 50%
- C••••• J••••• M••• · Membercontrolsince 08/1998 · owns 10% to 25%
- R••••• G•••••• E••••• · Shareholder & Vice-Presidentcontrolsince 06/1987 · owns 25% to 50% of T•• W•••••• A•••••
- W••••• L•••• A• · Treasurercontrolsince 01/2010 · owns 50% to 75% of T•• W•••••• A•••••
- R••••••••• A•••••• T••• · Membersince 08/1998 · owns 10% to 25%
Entity owners
- T•• W•••••• A••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- T•• W•••••• A•••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 17, 2026institutional share of RAUM of 58% against a peer median of 2% (1482 comparable advisers, 99.0th percentile, 19.2 robust deviations)peers: independent wealth managers, $500M to $1B (1,482) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 1,467 to 1,495Mar 25, 2025 to Mar 17, 2026
- HNW clients · 92 to 112Mar 25, 2025 to Mar 17, 2026
- Individual clients · 513 to 583Mar 25, 2025 to Mar 17, 2026
- Pension plan clients · 61 to 65Mar 25, 2025 to Mar 17, 2026
- Discretionary RAUM · $203M to $245MMar 25, 2025 to Mar 17, 2026
- HNW RAUM · $131M to $165MMar 25, 2025 to Mar 17, 2026
- Individual RAUM · $72.4M to $80.5MMar 25, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $313M to $343MMar 25, 2025 to Mar 17, 2026
- Pension RAUM · $313M to $343MMar 25, 2025 to Mar 17, 2026
- RAUM · $516M to $589MMar 25, 2025 to Mar 17, 2026
- Accounts · 1,348 to 1,467Mar 15, 2024 to Mar 25, 2025
- Advisory employees · 3 to 5Mar 15, 2024 to Mar 25, 2025
- HNW clients · 60 to 92Mar 15, 2024 to Mar 25, 2025
- Individual clients · 567 to 513Mar 15, 2024 to Mar 25, 2025
- Pension plan clients · 62 to 61Mar 15, 2024 to Mar 25, 2025
- Employees · 5 to 6Mar 15, 2024 to Mar 25, 2025
- Financial planning clients · 26-50 to 26-50Mar 15, 2024 to Mar 25, 2025
- State-registered IARs · 3 to 5Mar 15, 2024 to Mar 25, 2025
- Discretionary RAUM · $172M to $203MMar 15, 2024 to Mar 25, 2025
- HNW RAUM · $68.8M to $131MMar 15, 2024 to Mar 25, 2025
- Individual RAUM · $103M to $72.4MMar 15, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $269M to $313MMar 15, 2024 to Mar 25, 2025
- Pension RAUM · $269M to $313MMar 15, 2024 to Mar 25, 2025
- RAUM · $441M to $516MMar 15, 2024 to Mar 25, 2025
- Accounts · 1,234 to 1,348Nov 9, 2023 to Mar 15, 2024
- HNW clients · 56 to 60Nov 9, 2023 to Mar 15, 2024
- Individual clients · 518 to 567Nov 9, 2023 to Mar 15, 2024
- Pension plan clients · 64 to 62Nov 9, 2023 to Mar 15, 2024
- Financial planning clients · 11-25 to 26-50Nov 9, 2023 to Mar 15, 2024
- Discretionary RAUM · $147M to $172MNov 9, 2023 to Mar 15, 2024
- HNW RAUM · $66.0M to $68.8MNov 9, 2023 to Mar 15, 2024
- Individual RAUM · $81.0M to $103MNov 9, 2023 to Mar 15, 2024
- Non-discretionary RAUM · $232M to $269MNov 9, 2023 to Mar 15, 2024
- Pension RAUM · $232M to $269MNov 9, 2023 to Mar 15, 2024
- RAUM · $379M to $441MNov 9, 2023 to Mar 15, 2024
- Accounts · 936 to 1,234Nov 2, 2022 to Mar 31, 2023
- HNW clients · 52 to 56Nov 2, 2022 to Mar 31, 2023
- Individual clients · 570 to 518Nov 2, 2022 to Mar 31, 2023
- Pension plan clients · 62 to 64Nov 2, 2022 to Mar 31, 2023
- Discretionary RAUM · $130M to $147MNov 2, 2022 to Mar 31, 2023
Signals
2 dated events
- C••••••••• F•••••••• reported RAUM $362.0M, up 274% from $96.7M (2020-07-02 to 2021-03-24)Mar 24, 2021 · RAUM change · derived
- C••••••••• F•••••••• filed its initial SEC registration (Form ADV)Mar 27, 2018 · 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 email
- t••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-932-0000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-932-0199reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- INVESTC•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-932-0000reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- i•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026