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

L••••••• F•••••••• G••••• I•••

Former SEC-registered adviserMiamisburg, OhioCRD 121376SEC 801-63305IAPD
Latest filing Jun 26, 2020
First filing on the tape Feb 1, 2012 · 18 filings
RAUM
$368M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$368M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$368M as of Mar 18, 2020
Feb 1, 2012$184M then
HNW client RAUM$127M as of Mar 18, 2020
Mar 29, 2018$153M then
State-registered IARs (5.B.3)7 as of Mar 18, 2020
Feb 5, 20137 then
Employees (5.A)7 as of Mar 18, 2020
Feb 5, 20137 then
Private funds: no history
RAUM +19% over the last fiscal year+9.8% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jun 26, 2020; every figure names its basis
RAUM per advisor
$52.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
75derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.5MderivedHNW RAUM over HNW clients
Average account
$195,652derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Financial planning clients
570reportedItem 5.H
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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$241M65%
  • High-net-worth individuals$127M35%
  • Pension and profit-sharing plans$317,9330.1%
Individual clients
478reported
HNW clients
50reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,880reported
Financial planning clients
570reported
Wrap fee programs
noreported
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
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•••• C••••••••• J•• · Vice Presidentcontrol
      since 07/2007 · owns less than 5%
    • H••••• D•••• L•• · Chief Executive Officercontrol
      since 01/2006 · owns 50% to 75%
    • P••••••••• T•••••• C••••• · President/ Chief Compliance Officercontrol
      since 01/2006 · owns 25% to 50%
    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 · 1,852 to 1,880
      Mar 28, 2019 to Mar 18, 2020
    • Advisory employees · 8 to 7
      Mar 28, 2019 to Mar 18, 2020
    • HNW clients · 49 to 50
      Mar 28, 2019 to Mar 18, 2020
    • Individual clients · 468 to 478
      Mar 28, 2019 to Mar 18, 2020
    • Assets in custody · $61.1M to $66.3M
      Mar 28, 2019 to Mar 18, 2020
    • Employees · 8 to 7
      Mar 28, 2019 to Mar 18, 2020
    • Financial planning clients · 251-500 to More than 500
      Mar 28, 2019 to Mar 18, 2020
    • State-registered IARs · 8 to 7
      Mar 28, 2019 to Mar 18, 2020
    • Discretionary RAUM · $285M to $341M
      Mar 28, 2019 to Mar 18, 2020
    • HNW RAUM · $105M to $127M
      Mar 28, 2019 to Mar 18, 2020
    • Individual RAUM · $201M to $241M
      Mar 28, 2019 to Mar 18, 2020
    • Non-discretionary RAUM · $22.7M to $27.2M
      Mar 28, 2019 to Mar 18, 2020
    • Pension RAUM · $1.7M to $317,933
      Mar 28, 2019 to Mar 18, 2020
    • RAUM · $308M to $368M
      Mar 28, 2019 to Mar 18, 2020
    • Accounts · 1,906 to 1,852
      Mar 29, 2018 to Mar 28, 2019
    • HNW clients · 78 to 49
      Mar 29, 2018 to Mar 28, 2019
    • Individual clients · 498 to 468
      Mar 29, 2018 to Mar 28, 2019
    • Assets in custody · $58.0M to $61.1M
      Mar 29, 2018 to Mar 28, 2019
    • Discretionary RAUM · $316M to $285M
      Mar 29, 2018 to Mar 28, 2019
    • HNW RAUM · $153M to $105M
      Mar 29, 2018 to Mar 28, 2019
    • Individual RAUM · $168M to $201M
      Mar 29, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $6.6M to $22.7M
      Mar 29, 2018 to Mar 28, 2019
    • Pension RAUM · $1.4M to $1.7M
      Mar 29, 2018 to Mar 28, 2019
    • RAUM · $323M to $308M
      Mar 29, 2018 to Mar 28, 2019
    • Accounts · 1,844 to 1,906
      Apr 7, 2017 to Mar 29, 2018
    • Advisory employees · 7 to 8
      Apr 7, 2017 to Mar 29, 2018
    • HNW clients · unset to 78.0
      Apr 7, 2017 to Mar 29, 2018
    • Individual clients · unset to 498.0
      Apr 7, 2017 to Mar 29, 2018
    • Assets in custody · $49.6M to $58.0M
      Apr 7, 2017 to Mar 29, 2018
    • Custody of client assets · true to false
      Apr 7, 2017 to Mar 29, 2018
    • Employees · 7 to 8
      Apr 7, 2017 to Mar 29, 2018
    • State-registered IARs · 7 to 8
      Apr 7, 2017 to Mar 29, 2018
    • Other offices · unset to 0.0
      Apr 7, 2017 to Mar 29, 2018
    • Discretionary RAUM · $272M to $316M
      Apr 7, 2017 to Mar 29, 2018
    • HNW RAUM · unset to 152953063.0
      Apr 7, 2017 to Mar 29, 2018
    • Individual RAUM · unset to 168395703.0
      Apr 7, 2017 to Mar 29, 2018
    • Non-discretionary RAUM · $6.3M to $6.6M
      Apr 7, 2017 to Mar 29, 2018
    • Pension RAUM · unset to 1350884.0
      Apr 7, 2017 to Mar 29, 2018
    • RAUM · $278M to $323M
      Apr 7, 2017 to Mar 29, 2018
    • Accounts · 1,817 to 1,844
      Sep 26, 2016 to Mar 27, 2017
    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