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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Former SEC-registered adviser

J••• D• D••••• • A••••••••• L••

Former SEC-registered adviserCincinnati, OhioCRD 120458SEC 801-62184IAPD
Latest filing Mar 5, 2019
First filing on the tape Mar 21, 2012 · 20 filings
RAUM
$546M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
88%
$480M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$15.1M gross assets
History
20 filings and snapshots on the tape
RAUM$546M as of Feb 22, 2019
Mar 21, 2012$201M then
HNW client RAUM$270M as of Feb 22, 2019
Mar 21, 2018$241M then
State-registered IARs (5.B.3)6 as of Feb 22, 2019
Mar 21, 20120 then
Employees (5.A)13 as of Feb 22, 2019
Mar 20, 20139 then
Private funds2 as of Feb 22, 2019
Mar 21, 20182 then
RAUM +7.3% over the last fiscal year+17% a year over threeIARs 8 to 6
Practice profile
derived from the filing of Mar 5, 2019; every figure names its basis
RAUM per advisor
$91.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
77derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$258,016derivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
9.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+7.3%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.5%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$75.0M, 325 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • High-net-worth individuals$270M49%
  • Individuals$210M38%
  • Pension and profit-sharing plans$51.4M9.4%
  • Pooled investment vehicles$15.1M2.8%
Individual clients
395reported
HNW clients
66reported
Pension plan clients
39reported
Charitable clients
0reported
Accounts
2,116reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$75.0M for 325 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••• W••••••• C••• · Principal & Membercontrol
      since 03/2016 · owns 5% to 10%
    • D•••••• J•••• D•••• · President & Managing Membercontrol
      since 01/2009 · owns 75% or more
    • L•••••• T•••••• J••••• · Principal & Membercontrol
      since 01/2009 · owns 5% to 10%
    • P••••• C••••••••• L•• · Chief Compliance Officercontrol
      since 11/2018 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,820 to 2,116
      Nov 29, 2018 to Feb 22, 2019
    • Advisory employees · 10 to 8
      Nov 29, 2018 to Feb 22, 2019
    • HNW clients · 65 to 66
      Nov 29, 2018 to Feb 22, 2019
    • Individual clients · 360 to 395
      Nov 29, 2018 to Feb 22, 2019
    • Pension plan clients · 33 to 39
      Nov 29, 2018 to Feb 22, 2019
    • Assets in custody · $94.5M to $75.0M
      Nov 29, 2018 to Feb 22, 2019
    • Employees · 14 to 13
      Nov 29, 2018 to Feb 22, 2019
    • State-registered IARs · 8 to 6
      Nov 29, 2018 to Feb 22, 2019
    • Discretionary RAUM · $418M to $466M
      Nov 29, 2018 to Feb 22, 2019
    • HNW RAUM · $241M to $270M
      Nov 29, 2018 to Feb 22, 2019
    • Individual RAUM · $214M to $210M
      Nov 29, 2018 to Feb 22, 2019
    • Non-discretionary RAUM · $91.1M to $80.2M
      Nov 29, 2018 to Feb 22, 2019
    • Pension RAUM · $45.4M to $51.4M
      Nov 29, 2018 to Feb 22, 2019
    • Pooled vehicle RAUM · $9.2M to $15.1M
      Nov 29, 2018 to Feb 22, 2019
    • RAUM · $509M to $546M
      Nov 29, 2018 to Feb 22, 2019
    • Accounts · 1,818 to 1,820
      Nov 20, 2017 to Mar 21, 2018
    • Advisory employees · 9 to 10
      Nov 20, 2017 to Mar 21, 2018
    • HNW clients · 57 to 65
      Nov 20, 2017 to Mar 21, 2018
    • Individual clients · 359 to 360
      Nov 20, 2017 to Mar 21, 2018
    • Pension plan clients · 29 to 33
      Nov 20, 2017 to Mar 21, 2018
    • Assets in custody · $63.9M to $94.5M
      Nov 20, 2017 to Mar 21, 2018
    • Employees · 13 to 14
      Nov 20, 2017 to Mar 21, 2018
    • Discretionary RAUM · $392M to $418M
      Nov 20, 2017 to Mar 21, 2018
    • HNW RAUM · $216M to $241M
      Nov 20, 2017 to Mar 21, 2018
    • Individual RAUM · $219M to $214M
      Nov 20, 2017 to Mar 21, 2018
    • Non-discretionary RAUM · $79.3M to $91.1M
      Nov 20, 2017 to Mar 21, 2018
    • Pension RAUM · $33.4M to $45.4M
      Nov 20, 2017 to Mar 21, 2018
    • Pooled vehicle RAUM · $11.5M to $9.2M
      Nov 20, 2017 to Mar 21, 2018
    • RAUM · $471M to $509M
      Nov 20, 2017 to Mar 21, 2018
    • Accounts · 1,847 to 1,818
      Apr 3, 2017 to Nov 20, 2017
    • Advisory employees · 7 to 9
      Apr 3, 2017 to Nov 20, 2017
    • Charity clients · unset to 0.0
      Apr 3, 2017 to Nov 20, 2017
    • Corporate clients · unset to 0.0
      Apr 3, 2017 to Nov 20, 2017
    • HNW clients · unset to 57.0
      Apr 3, 2017 to Nov 20, 2017
    • Individual clients · unset to 359.0
      Apr 3, 2017 to Nov 20, 2017
    • Pension plan clients · unset to 29.0
      Apr 3, 2017 to Nov 20, 2017
    • Pooled vehicle clients · unset to 2.0
      Apr 3, 2017 to Nov 20, 2017
    • Custody of client assets · false to true
      Apr 3, 2017 to Nov 20, 2017
    • Employees · 14 to 13
      Apr 3, 2017 to Nov 20, 2017
    • Other offices · unset to 0.0
      Apr 3, 2017 to Nov 20, 2017
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026