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
S••••••••• • C••••••
Latest filing Apr 15, 2026
First filing on the tape Mar 30, 2012 · 15 filings
SEC status approved since Apr 23, 2021
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$162M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$86.5M
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
15 filings and snapshots on the tape
RAUM$173M as of Apr 15, 2026
Mar 30, 2012$50.3M then
HNW client RAUM$124M as of Apr 15, 2026
Mar 29, 2022$92.6M then
State-registered IARs (5.B.3)2 as of Apr 15, 2026
Mar 30, 20120 then
Employees (5.A)3 as of Apr 15, 2026
Mar 29, 20223 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Apr 15, 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
- $86.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $358,212derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $32.4M, 56 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
- 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)
- 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$124M72%
- Individuals$37.9M22%
- Pension and profit-sharing plans$7.3M4.2%
- Charitable organizations$3.2M1.8%
- Corporations and businesses$225,7300.1%
- Individual clients
- 142reported
- HNW clients
- 56reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 483reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.4M for 56 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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 |
|---|---|---|---|---|
| E••• M• M••••••Chartered Financial Consultant | Powell, Oh | Jan 3, 2012 | 27 y | 4 |
| M•••••• R•••••• F•••••••••Chartered Financial Analyst | Powell, Oh | Dec 8, 2020 | 20 y | 1 |
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
- M•••••• R•••••• F••••••••• from S••••• I••••••••• C••••••• L•••Dec 8, 2020 · Other
- E••• M• M•••••• from V•••• F•••••••• A•••••••• I•••Jan 3, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• D••••• L•• · President & Chief Compliance Officercontrolsince 03/1999 · owns less than 5%
- S••••••••• D••••• L•• · T••••••controlsince 12/2001 · owns 75% or more of D•••• L• S••••••••• T••••••• D•••• L• S••••••••• A•••••• A•• R••••••• T•••• U•••• 7••••••••
- F••••••••• M••••••• R•••••• · Shareholdersince 12/2021 · owns 25% to 50%
- M••••••• E•••• M• · Shareholdersince 12/2021 · owns 25% to 50%
Entity owners
- D•••• L• S••••••••• T••••••• D•••• L• S••••••••• A•••••• A•• R••••••• T•••• U•••• 7•••••••• · Trustdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Powell, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 563 to 483Feb 28, 2025 to Mar 23, 2026
- HNW clients · 52 to 56Feb 28, 2025 to Mar 23, 2026
- Individual clients · 146 to 142Feb 28, 2025 to Mar 23, 2026
- Pension plan clients · unset to 6.0Feb 28, 2025 to Mar 23, 2026
- Assets in custody · $64.8M to $32.4MFeb 28, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 1-10Feb 28, 2025 to Mar 23, 2026
- Discretionary RAUM · $149M to $173MFeb 28, 2025 to Mar 23, 2026
- HNW RAUM · $102M to $124MFeb 28, 2025 to Mar 23, 2026
- Individual RAUM · $35.7M to $37.9MFeb 28, 2025 to Mar 23, 2026
- Pension RAUM · $8.5M to $7.3MFeb 28, 2025 to Mar 23, 2026
- RAUM · $149M to $173MFeb 28, 2025 to Mar 23, 2026
- Accounts · 198 to 563Apr 18, 2024 to Feb 28, 2025
- Advisory employees · 3 to 2Apr 18, 2024 to Feb 28, 2025
- HNW clients · 51 to 52Apr 18, 2024 to Feb 28, 2025
- Individual clients · 141 to 146Apr 18, 2024 to Feb 28, 2025
- Pension plan clients · 3.0 to unsetApr 18, 2024 to Feb 28, 2025
- Assets in custody · $65.7M to $64.8MApr 18, 2024 to Feb 28, 2025
- Financial planning clients · 1-10 to 0Apr 18, 2024 to Feb 28, 2025
- State-registered IARs · 3 to 2Apr 18, 2024 to Feb 28, 2025
- Discretionary RAUM · $138M to $149MApr 18, 2024 to Feb 28, 2025
- HNW RAUM · $94.9M to $102MApr 18, 2024 to Feb 28, 2025
- Individual RAUM · $34.4M to $35.7MApr 18, 2024 to Feb 28, 2025
- Pension RAUM · $5.6M to $8.5MApr 18, 2024 to Feb 28, 2025
- RAUM · $138M to $149MApr 18, 2024 to Feb 28, 2025
- Accounts · 442 to 198Jul 24, 2023 to Mar 26, 2024
- Advisory activities · 1 to 2Jul 24, 2023 to Mar 26, 2024
- HNW clients · 48 to 51Jul 24, 2023 to Mar 26, 2024
- Individual clients · 134 to 141Jul 24, 2023 to Mar 26, 2024
- Pension plan clients · unset to 3.0Jul 24, 2023 to Mar 26, 2024
- Assets in custody · $51.2M to $65.7MJul 24, 2023 to Mar 26, 2024
- Financial planning clients · unset to 1-10Jul 24, 2023 to Mar 26, 2024
- Discretionary RAUM · $123M to $138MJul 24, 2023 to Mar 26, 2024
- HNW RAUM · $82.2M to $94.9MJul 24, 2023 to Mar 26, 2024
- Individual RAUM · $31.6M to $34.4MJul 24, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $46,927 to $0Jul 24, 2023 to Mar 26, 2024
- Pension RAUM · $6.6M to $5.6MJul 24, 2023 to Mar 26, 2024
- RAUM · $123M to $138MJul 24, 2023 to Mar 26, 2024
- Accounts · 391 to 442Mar 29, 2022 to Mar 27, 2023
- HNW clients · 42 to 48Mar 29, 2022 to Mar 27, 2023
- Individual clients · 113 to 134Mar 29, 2022 to Mar 27, 2023
Signals
1 dated events
- S••••••••• • C•••••• filed its initial SEC registration (Form ADV)Mar 23, 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 email
- i•••@s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-760-7738reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-760-7738reportedpublic record, Form ADV, Apr 15, 2026
- Contact form
- s•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- s•••••••••.comreportedpublished 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
- $86.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026