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
A••••••• A•••• M••••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Nov 29, 2011 · 25 filings
SEC status approved since Jan 24, 2003
RAUM
$651M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
20%
$128M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$651M as of Mar 30, 2026
Mar 26, 2012$393M then
HNW client RAUM$84.9M as of Mar 30, 2026
Mar 22, 2018$63.1M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 21, 20130 then
Employees (5.A)8 as of Mar 30, 2026
Mar 21, 20137 then
Private funds: no history
RAUM -12% over the last fiscal year-1.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$508M78%
- High-net-worth individuals$84.9M13%
- Individuals$42.7M6.6%
- Charitable organizations$13.1M2.0%
- Corporations and businesses$2.4M0.4%
- Individual clients
- 268reported
- HNW clients
- 29reported
- Pension plan clients
- 0reported
- Charitable clients
- 5reported
- Accounts
- 537reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.2 fund_share=0.78 institutional_share=0.02 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 |
|---|---|---|---|---|
| R••••• D••• B•••• | Dublin, Oh | Jan 1, 2000 | 27 y | 0 |
| R••••• E••••• W••••••• | Dublin, Oh | Feb 3, 2003 | 27 y | 0 |
| P••••• A•••• V•••••• | Dublin, Oh | Feb 3, 2003 | 24 y | 0 |
| T••• W•••••• | Piqua, Oh | Aug 7, 2017 | 51 y | 1 |
| A•••• J••••• P••••••• | Dublin, Oh | May 4, 2020 | 30 y | 2 |
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
none on the tape
Joined, latest
- A•••• J••••• P••••••• from O•••• P•••••••• S••••••••• L••May 4, 2020 · Other
- T••• W•••••• from H• B•••• I•••Aug 7, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• R•••••• D••• · President, & Chief Compliance Officercontrolsince 01/1999 · owns 25% to 50%
- V••••••• P•••••• A•••• · Sr. Vice President And Chief Investment Officecontrolsince 11/2001 · owns 25% to 50%
Entity owners
- A•••• I••• 4••• P•• A•• T•••• · Shareholderdirect · owns 10% to 25%
- R• B••••• T••••••• P• B•••• G•• T•••• · Shareholderdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Panama City, FL1 employees
- Piqua, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 576 to 537Apr 8, 2025 to Mar 30, 2026
- Corporate clients · 6 to 5Apr 8, 2025 to Mar 30, 2026
- HNW clients · 31 to 29Apr 8, 2025 to Mar 30, 2026
- Individual clients · 290 to 268Apr 8, 2025 to Mar 30, 2026
- Pension plan clients · 2 to 0Apr 8, 2025 to Mar 30, 2026
- Discretionary RAUM · $683M to $651MApr 8, 2025 to Mar 30, 2026
- HNW RAUM · $85.3M to $84.9MApr 8, 2025 to Mar 30, 2026
- Individual RAUM · $44.1M to $42.7MApr 8, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $56.8M to $227,129Apr 8, 2025 to Mar 30, 2026
- Pension RAUM · 56824824.0 to unsetApr 8, 2025 to Mar 30, 2026
- RAUM · $740M to $651MApr 8, 2025 to Mar 30, 2026
- Accounts · 600 to 576Mar 25, 2024 to Apr 8, 2025
- Advisory employees · 3 to 4Mar 25, 2024 to Apr 8, 2025
- Individual clients · 312 to 290Mar 25, 2024 to Apr 8, 2025
- Pension plan clients · 1 to 2Mar 25, 2024 to Apr 8, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Apr 8, 2025
- Discretionary RAUM · $683M to $683MMar 25, 2024 to Apr 8, 2025
- HNW RAUM · $80.3M to $85.3MMar 25, 2024 to Apr 8, 2025
- Individual RAUM · $43.5M to $44.1MMar 25, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $38.9M to $56.8MMar 25, 2024 to Apr 8, 2025
- Pension RAUM · $38.9M to $56.8MMar 25, 2024 to Apr 8, 2025
- RAUM · $722M to $740MMar 25, 2024 to Apr 8, 2025
- Charity clients · unset to 5.0Mar 23, 2023 to Mar 25, 2024
- Corporate clients · 4 to 6Mar 23, 2023 to Mar 25, 2024
- HNW clients · 33 to 31Mar 23, 2023 to Mar 25, 2024
- Individual clients · 319 to 312Mar 23, 2023 to Mar 25, 2024
- Discretionary RAUM · $651M to $683MMar 23, 2023 to Mar 25, 2024
- HNW RAUM · $66.8M to $80.3MMar 23, 2023 to Mar 25, 2024
- Individual RAUM · $42.3M to $43.5MMar 23, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $34.2M to $38.9MMar 23, 2023 to Mar 25, 2024
- Pension RAUM · $34.2M to $38.9MMar 23, 2023 to Mar 25, 2024
- RAUM · $685M to $722MMar 23, 2023 to Mar 25, 2024
- Accounts · 592 to 600Mar 1, 2023 to Mar 23, 2023
- Charity clients · 5.0 to unsetMar 1, 2023 to Mar 23, 2023
- Corporate clients · 5 to 4Mar 1, 2023 to Mar 23, 2023
- HNW clients · 31 to 33Mar 1, 2023 to Mar 23, 2023
- Individual clients · 309 to 319Mar 1, 2023 to Mar 23, 2023
- Discretionary RAUM · $761M to $651MMar 1, 2023 to Mar 23, 2023
- HNW RAUM · $76.2M to $66.8MMar 1, 2023 to Mar 23, 2023
- Individual RAUM · $49.4M to $42.3MMar 1, 2023 to Mar 23, 2023
Signals
1 dated events
- A••••••• A•••• M••••••••• A•••••••• I••• reported RAUM $609.3M, down 27% from $834.5M (2017-08-03 to 2018-03-22)Mar 22, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/advanced-asset-management-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- A•••WEB.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-717-4451reportedpublic record, Form ADV, Mar 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026