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•••••• A•••• M••••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 11 filings
SEC status approved since Apr 30, 2021
RAUM
$200M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$182M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$99.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$200M as of Mar 27, 2026
Mar 30, 2012$52.9M then
HNW client RAUM$162M as of Mar 27, 2026
Mar 30, 2022$126M then
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Mar 27, 2026
Mar 30, 20223 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $99.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $595,584derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.9%derived
- Compensation
- percentage of assetsreportedItem 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)
- 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)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M85%
- Individuals$20.1M11%
- Charitable organizations$4.2M2.2%
- Pension and profit-sharing plans$3.4M1.8%
- Banks and thrifts$1.3M0.7%
- Individual clients
- 63reported
- HNW clients
- 39reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 335reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• T••• F•• | Columbus, Oh | Mar 24, 2000 | 27 y | 1 |
| J•••• E••• R•••Certified Financial Planner, Chartered Financial Consultant | Columbus, Oh | May 2, 2008 | 26 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
none on the tape
Joined, latest
- C••••••••• T••• F•• from O•••• W•••••• I•••Mar 24, 2000 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••• C••••••••• T••• · Founder, Presidentand Ceocontrolsince 02/2000 · owns 75% or more
- R•••• J••••• E••• · Vice President/Chief Operations Officer/Chief Compliance Officercontrolsince 02/2010 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- RAUM · $180M to $200MMar 24, 2025 to Mar 27, 2026
- Accounts · 326 to 335Mar 24, 2025 to Mar 27, 2026
- Charity clients · 6 to 3Mar 24, 2025 to Mar 27, 2026
- Corporate clients · 3.0 to unsetMar 24, 2025 to Mar 27, 2026
- HNW clients · 40 to 39Mar 24, 2025 to Mar 27, 2026
- Individual clients · 64 to 63Mar 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $177M to $196MMar 24, 2025 to Mar 27, 2026
- HNW RAUM · $147M to $162MMar 24, 2025 to Mar 27, 2026
- Individual RAUM · $19.0M to $20.1MMar 24, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $2.6M to $3.4MMar 24, 2025 to Mar 27, 2026
- Pension RAUM · $2.6M to $3.4MMar 24, 2025 to Mar 27, 2026
- Accounts · 304 to 326Mar 26, 2024 to Mar 24, 2025
- HNW clients · 38 to 40Mar 26, 2024 to Mar 24, 2025
- Individual clients · 70 to 64Mar 26, 2024 to Mar 24, 2025
- Pension plan clients · 1 to 2Mar 26, 2024 to Mar 24, 2025
- Financial planning clients · 26-50 to 26-50Mar 26, 2024 to Mar 24, 2025
- Discretionary RAUM · $156M to $177MMar 26, 2024 to Mar 24, 2025
- HNW RAUM · $109M to $147MMar 26, 2024 to Mar 24, 2025
- Individual RAUM · $18.5M to $19.0MMar 26, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $2.2M to $2.6MMar 26, 2024 to Mar 24, 2025
- Pension RAUM · $2.2M to $2.6MMar 26, 2024 to Mar 24, 2025
- RAUM · $159M to $180MMar 26, 2024 to Mar 24, 2025
- Accounts · 277 to 304Mar 28, 2023 to Mar 26, 2024
- Charity clients · 5 to 6Mar 28, 2023 to Mar 26, 2024
- Corporate clients · unset to 3.0Mar 28, 2023 to Mar 26, 2024
- HNW clients · 44 to 38Mar 28, 2023 to Mar 26, 2024
- Individual clients · 60 to 70Mar 28, 2023 to Mar 26, 2024
- Discretionary RAUM · $136M to $156MMar 28, 2023 to Mar 26, 2024
- HNW RAUM · $100M to $109MMar 28, 2023 to Mar 26, 2024
- Individual RAUM · $11.9M to $18.5MMar 28, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $2.1M to $2.2MMar 28, 2023 to Mar 26, 2024
- Pension RAUM · $2.1M to $2.2MMar 28, 2023 to Mar 26, 2024
- RAUM · $138M to $159MMar 28, 2023 to Mar 26, 2024
- Accounts · 271 to 277Mar 30, 2022 to Mar 28, 2023
- HNW clients · 41 to 44Mar 30, 2022 to Mar 28, 2023
- Individual clients · 67 to 60Mar 30, 2022 to Mar 28, 2023
- Discretionary RAUM · $145M to $136MMar 30, 2022 to Mar 28, 2023
- HNW RAUM · $126M to $100MMar 30, 2022 to Mar 28, 2023
- Individual RAUM · $13.1M to $11.9MMar 30, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $2.2M to $2.1MMar 30, 2022 to Mar 28, 2023
Signals
2 dated events
- Gregory Douglas Smith (Portfolio Manager And Chief Investment Officer) no longer on Schedule A of C•••••• A•••• M••••••••• I••• (listed 2012-06-21, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- C•••••• A•••• M••••••••• I••• filed its initial SEC registration (Form ADV)Mar 31, 2021 · 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
- 614-635-1398reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-515-5510reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- CAPITALASSETMGMT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-515-5510reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- CAPITALASSETMGMT.COM/who-we-are.phpreportedpublished by the firm, firm site, Sep 16, 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
- $99.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026