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.

Former SEC-registered adviser

Pinnacle Wealth Management, Inc.

Former SEC-registered adviserWest Chester, OhioCRD 121065SEC 801-63327IAPD
Latest filing Jan 26, 2021
First filing on the tape Mar 20, 2012 · 17 filings
RAUM
$503M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
43%
$218M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$503M as of Jan 26, 2021
Mar 20, 2012$109M then
HNW client RAUM$176M as of Jan 26, 2021
Feb 8, 2018$110M then
State-registered IARs (5.B.3)6 as of Jan 26, 2021
Mar 21, 20135 then
Employees (5.A)7 as of Jan 26, 2021
Mar 21, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Jan 26, 2021; every figure names its basis
RAUM per advisor
$83.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
33derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
56%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.2derivedItem 5.A over advisors
Advisors per office
1.2derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.2%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$283M56%
  • High-net-worth individuals$176M35%
  • Individuals$42.0M8.4%
  • Corporations and businesses$1.2M0.2%
  • Charitable organizations$1.0M0.2%
Individual clients
109reported
HNW clients
90reported
Pension plan clients
48reported
Charitable clients
n/areported
Accounts
449reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $220M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 5 left for Mariner
    Dec 23, 2021 · West Chester, Oh · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Carol Anna Barton · Vice President/Treasurercontrol
      since 09/2005 · owns less than 5%
    • Joseph Anthony Bruns · Vice President & Secretarycontrol
      since 09/2005 · owns less than 5%
    • Scott Jeffrey Sims · President, Chief Compliance Officer, Ceocontrol
      since 08/2000 · owns less than 5%
    • Carol Anna Barton · Vice President & Treasurercontrol
      since 09/2005 · owns F of Pinnacle Financial Advisors, LLC
    • Joseph Anthony Bruns · Vice President & Secretarycontrol
      since 09/2005 · owns F of Pinnacle Financial Advisors, LLC
    • Scott Jeffrey Sims · President & Ceocontrol
      since 09/2005 · owns 50% to 75% of Pinnacle Financial Advisors, LLC
    Entity owners
    • Pinnacle Financial Advisors, LLC · Parent Company
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Cincinnati, OH4 employees
    • Columbus, OH4 employees
    • Dayton, OH4 employees
    • Springfield, OH4 employees
    What changed
    consecutive filings, newest first
    • Accounts · 429 to 449
      May 26, 2020 to Jan 26, 2021
    • Advisory employees · 5 to 6
      May 26, 2020 to Jan 26, 2021
    • HNW clients · 78 to 90
      May 26, 2020 to Jan 26, 2021
    • Individual clients · 113 to 109
      May 26, 2020 to Jan 26, 2021
    • State-registered IARs · 5 to 6
      May 26, 2020 to Jan 26, 2021
    • Discretionary RAUM · $432M to $501M
      May 26, 2020 to Jan 26, 2021
    • HNW RAUM · $139M to $176M
      May 26, 2020 to Jan 26, 2021
    • Individual RAUM · $43.1M to $42.0M
      May 26, 2020 to Jan 26, 2021
    • Non-discretionary RAUM · $1.2M to $1.7M
      May 26, 2020 to Jan 26, 2021
    • Pension RAUM · $249M to $283M
      May 26, 2020 to Jan 26, 2021
    • RAUM · $433M to $503M
      May 26, 2020 to Jan 26, 2021
    • Wrap assets (manager) · $185M to $220M
      May 26, 2020 to Jan 26, 2021
    • Accounts · 396 to 429
      Feb 5, 2019 to Feb 26, 2020
    • Advisory employees · 6 to 5
      Feb 5, 2019 to Feb 26, 2020
    • BD registered reps · 6 to 5
      Feb 5, 2019 to Feb 26, 2020
    • HNW clients · 75 to 78
      Feb 5, 2019 to Feb 26, 2020
    • Individual clients · 103 to 113
      Feb 5, 2019 to Feb 26, 2020
    • Pension plan clients · 51 to 48
      Feb 5, 2019 to Feb 26, 2020
    • State-registered IARs · 6 to 5
      Feb 5, 2019 to Feb 26, 2020
    • Discretionary RAUM · $346M to $432M
      Feb 5, 2019 to Feb 26, 2020
    • HNW RAUM · $112M to $139M
      Feb 5, 2019 to Feb 26, 2020
    • Individual RAUM · $28.5M to $43.1M
      Feb 5, 2019 to Feb 26, 2020
    • Non-discretionary RAUM · $2.3M to $1.2M
      Feb 5, 2019 to Feb 26, 2020
    • Pension RAUM · $206M to $249M
      Feb 5, 2019 to Feb 26, 2020
    • RAUM · $349M to $433M
      Feb 5, 2019 to Feb 26, 2020
    • Wrap assets (manager) · $143M to $185M
      Feb 5, 2019 to Feb 26, 2020
    • Accounts · 357 to 396
      Aug 30, 2018 to Feb 5, 2019
    • HNW clients · 70 to 75
      Aug 30, 2018 to Feb 5, 2019
    • Individual clients · 89 to 103
      Aug 30, 2018 to Feb 5, 2019
    • Pension plan clients · 44 to 51
      Aug 30, 2018 to Feb 5, 2019
    • Financial planning clients · 1-10 to 0
      Aug 30, 2018 to Feb 5, 2019
    • Discretionary RAUM · $360M to $346M
      Aug 30, 2018 to Feb 5, 2019
    • HNW RAUM · $110M to $112M
      Aug 30, 2018 to Feb 5, 2019
    • Individual RAUM · $29.8M to $28.5M
      Aug 30, 2018 to Feb 5, 2019
    • Non-discretionary RAUM · $2.5M to $2.3M
      Aug 30, 2018 to Feb 5, 2019
    • Pension RAUM · $221M to $206M
      Aug 30, 2018 to Feb 5, 2019
    • RAUM · $363M to $349M
      Aug 30, 2018 to Feb 5, 2019
    • Wrap assets (manager) · $142M to $143M
      Aug 30, 2018 to Feb 5, 2019
    • Accounts · 292 to 357
      Mar 13, 2017 to Feb 8, 2018
    • HNW clients · unset to 70.0
      Mar 13, 2017 to Feb 8, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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