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•••••••• C••••••••• I•••
Latest filing Apr 20, 2026
First filing on the tape Mar 22, 2012 · 19 filings
SEC status approved since Jan 28, 2019
RAUM
$100M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
91%
$91.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$33.4M
derived; firm RAUM over IAPD count
Employees
3
3 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$100M as of Apr 20, 2026
Mar 23, 2012$36.0M then
HNW client RAUM$42.7M as of Apr 20, 2026
Feb 19, 2019$43.5M then
State-registered IARs (5.B.3)0 as of Apr 20, 2026
Mar 23, 20120 then
Employees (5.A)3 as of Apr 20, 2026
Feb 19, 20193 then
Private funds: no history
RAUM +8.4% over the last fiscal year+1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $33.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 134derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $141,419derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$48.6M49%
- High-net-worth individuals$42.7M43%
- Pension and profit-sharing plans$7.8M7.8%
- Corporations and businesses$825,0000.8%
- Charitable organizations$168,0000.2%
- Individual clients
- 376reported
- HNW clients
- 26reported
- Pension plan clients
- 2reported
- Charitable clients
- 4reported
- Accounts
- 708reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.08 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 |
|---|---|---|---|---|
| S••••• M•••••• V•••••• | Springboro, Oh | Jun 6, 2003 | 33 y | 0 |
| D•••••• J•••• M•••• | Springboro, Oh | Sep 25, 2014 | 26 y | 0 |
| P••••• A••••• V••••••Certified Financial Planner | Springboro, Oh | Apr 10, 2026 | 12 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
- S•••• W• S••••• to R•••••••• W••••• P••••••• L••Nov 2, 2020 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• S•••••• M•••••• · Chief Compliance Officer, Chief Executive Officer, Chief Financial Officer, Chief Operations Officercontrolsince 12/2000 · 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 |
|---|---|---|---|---|---|
| Springboro, Oh · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 672 to 708Mar 24, 2025 to Mar 20, 2026
- Charity clients · 5 to 4Mar 24, 2025 to Mar 20, 2026
- Corporate clients · 1 to 7Mar 24, 2025 to Mar 20, 2026
- HNW clients · 25 to 26Mar 24, 2025 to Mar 20, 2026
- Individual clients · 362 to 376Mar 24, 2025 to Mar 20, 2026
- Pension plan clients · 1 to 2Mar 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $91.7M to $99.3MMar 24, 2025 to Mar 20, 2026
- HNW RAUM · $38.0M to $42.7MMar 24, 2025 to Mar 20, 2026
- Individual RAUM · $47.2M to $48.6MMar 24, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $700,000 to $825,000Mar 24, 2025 to Mar 20, 2026
- Pension RAUM · $6.6M to $7.8MMar 24, 2025 to Mar 20, 2026
- RAUM · $92.4M to $100MMar 24, 2025 to Mar 20, 2026
- Accounts · 693 to 672Mar 28, 2024 to Mar 24, 2025
- Advisory employees · 2 to 3Mar 28, 2024 to Mar 24, 2025
- HNW clients · 32 to 25Mar 28, 2024 to Mar 24, 2025
- Individual clients · 358 to 362Mar 28, 2024 to Mar 24, 2025
- Employees · 2 to 3Mar 28, 2024 to Mar 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 24, 2025
- Discretionary RAUM · $89.4M to $91.7MMar 28, 2024 to Mar 24, 2025
- HNW RAUM · $40.0M to $38.0MMar 28, 2024 to Mar 24, 2025
- Individual RAUM · $43.8M to $47.2MMar 28, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $670,000 to $700,000Mar 28, 2024 to Mar 24, 2025
- Pension RAUM · $5.7M to $6.6MMar 28, 2024 to Mar 24, 2025
- RAUM · $90.1M to $92.4MMar 28, 2024 to Mar 24, 2025
- Accounts · 755 to 693Mar 16, 2023 to Mar 28, 2024
- Charity clients · 4 to 5Mar 16, 2023 to Mar 28, 2024
- HNW clients · 20 to 32Mar 16, 2023 to Mar 28, 2024
- Individual clients · 364 to 358Mar 16, 2023 to Mar 28, 2024
- Discretionary RAUM · $94.1M to $89.4MMar 16, 2023 to Mar 28, 2024
- HNW RAUM · $40.7M to $40.0MMar 16, 2023 to Mar 28, 2024
- Individual RAUM · $47.8M to $43.8MMar 16, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $659,630 to $670,000Mar 16, 2023 to Mar 28, 2024
- Pension RAUM · $5.2M to $5.7MMar 16, 2023 to Mar 28, 2024
- RAUM · $94.8M to $90.1MMar 16, 2023 to Mar 28, 2024
- Accounts · 829 to 755Mar 29, 2022 to Mar 16, 2023
- Charity clients · 6 to 4Mar 29, 2022 to Mar 16, 2023
- HNW clients · 24 to 20Mar 29, 2022 to Mar 16, 2023
- Individual clients · 372 to 364Mar 29, 2022 to Mar 16, 2023
- Discretionary RAUM · $96.9M to $94.1MMar 29, 2022 to Mar 16, 2023
- HNW RAUM · $46.3M to $40.7MMar 29, 2022 to Mar 16, 2023
Signals
1 dated events
- F•••••••• C••••••••• I••• filed its initial SEC registration (Form ADV)Nov 30, 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 phone
- 937-748-8710reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- FINANCIALC•••••••••INC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 937-748-8710reportedpublic record, Form ADV, Apr 20, 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
- $33.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026