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•••••• F•••••••• C•••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Apr 2, 2019 · 20 filings
SEC status approved since May 7, 2019
RAUM
$317M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
99%
$315M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$63.4M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$317M as of Mar 12, 2026
Mar 12, 2020$129M then
HNW client RAUM$176M as of Mar 12, 2026
Mar 12, 2020$53.7M then
State-registered IARs (5.B.3)5 as of Mar 12, 2026
Mar 12, 20204 then
Employees (5.A)8 as of Mar 12, 2026
Mar 12, 20206 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 3 to 5
Practice profile
derived from the filing of Mar 12, 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
- RAUM per advisor
- $63.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 128derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $217,862derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $142M, 275 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)
- 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$176M55%
- Individuals$139M44%
- Corporations and businesses$1.8M0.6%
- Charitable organizations$689,5540.2%
- Individual clients
- 554reported
- HNW clients
- 86reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,455reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $142M for 275 clientsreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• E••••• W••••••Certified Financial Planner | Westerville, Oh | Oct 11, 2002 | 29 y | 0 |
| M•••••• A• H•••Certified Financial Planner | Westerville, Oh | Jan 8, 2008 | 23 y | 1 |
| B•••• S•••• V••••••••• | Westerville, Oh | Jan 19, 2017 | 12 y | 0 |
| Z•••••• A•••• K•••••Certified Financial Planner | Westerville, Oh | Jan 19, 2017 | 10 y | 0 |
| C••••••••• A•••• B••••••• | Westerville, Oh | Feb 5, 2024 | 10 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
- M••• C•••••• F••••• to J•••••• F••••••••Sep 19, 2017 · RIA to RIA
- R••• C•••••• B••••• to J•••••• F••••••••Sep 19, 2017 · RIA to RIA
Joined, latest
- C••••••••• A•••• B••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 5, 2024 · Affiliated broker-dealer or bank to independent RIA
- R••• C•••••• B••••• from O• I••••••••• M••••••••• C•Apr 16, 2010 · Other
- M•••••• A• H••• from N••••••••• M••••• I••••••••• S•••••••••Jan 8, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for J•••••• F••••••••Sep 19, 2017 · Westerville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••••• B••••• S•••• · Director Of Operations And Chief Compliance Officercontrolsince 01/2020 · owns 5% to 10%
- W••••••• D•••••• E••••• · Presidentcontrolsince 01/2004 · owns 75% or more
- H•••• M••••••• A• · Director Of Investmentssince 01/2019 · owns 10% to 25%
- K•••••• Z••••••• A•••• · Vice President And Secretarysince 01/2024 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mansfield, OH3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 12, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-25, yes on the filing of 2026-03-12peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,350 to 1,455Feb 25, 2025 to Mar 12, 2026
- Corporate clients · 7.0 to unsetFeb 25, 2025 to Mar 12, 2026
- HNW clients · 73 to 86Feb 25, 2025 to Mar 12, 2026
- Individual clients · 535 to 554Feb 25, 2025 to Mar 12, 2026
- Assets in custody · $89.1M to $142MFeb 25, 2025 to Mar 12, 2026
- Custody of client assets · false to trueFeb 25, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 5Feb 25, 2025 to Mar 12, 2026
- Discretionary RAUM · $155M to $199MFeb 25, 2025 to Mar 12, 2026
- HNW RAUM · $133M to $176MFeb 25, 2025 to Mar 12, 2026
- Individual RAUM · $122M to $139MFeb 25, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $103M to $118MFeb 25, 2025 to Mar 12, 2026
- RAUM · $258M to $317MFeb 25, 2025 to Mar 12, 2026
- Accounts · 1,244 to 1,350Nov 8, 2024 to Feb 25, 2025
- Advisory employees · 4 to 5Nov 8, 2024 to Feb 25, 2025
- BD registered reps · 1 to 2Nov 8, 2024 to Feb 25, 2025
- Corporate clients · unset to 7.0Nov 8, 2024 to Feb 25, 2025
- HNW clients · 63 to 73Nov 8, 2024 to Feb 25, 2025
- Individual clients · 520 to 535Nov 8, 2024 to Feb 25, 2025
- Assets in custody · $88.6M to $89.1MNov 8, 2024 to Feb 25, 2025
- Employees · 7 to 8Nov 8, 2024 to Feb 25, 2025
- Financial planning clients · 26-50 to 51-100Nov 8, 2024 to Feb 25, 2025
- State-registered IARs · 4 to 3Nov 8, 2024 to Feb 25, 2025
- Discretionary RAUM · $127M to $155MNov 8, 2024 to Feb 25, 2025
- HNW RAUM · $116M to $133MNov 8, 2024 to Feb 25, 2025
- Individual RAUM · $105M to $122MNov 8, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $96.0M to $103MNov 8, 2024 to Feb 25, 2025
- RAUM · $223M to $258MNov 8, 2024 to Feb 25, 2025
- Other offices · 2 to 1Feb 12, 2024 to May 20, 2024
- Accounts · 1,170 to 1,244Oct 6, 2023 to Feb 12, 2024
- HNW clients · 52 to 63Oct 6, 2023 to Feb 12, 2024
- Individual clients · 503 to 520Oct 6, 2023 to Feb 12, 2024
- Assets in custody · $18.0M to $88.6MOct 6, 2023 to Feb 12, 2024
- Custody of client assets · true to falseOct 6, 2023 to Feb 12, 2024
- Financial planning clients · 51-100 to 26-50Oct 6, 2023 to Feb 12, 2024
- Discretionary RAUM · $94.2M to $127MOct 6, 2023 to Feb 12, 2024
- HNW RAUM · $91.4M to $116MOct 6, 2023 to Feb 12, 2024
- Individual RAUM · $91.5M to $105MOct 6, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $89.3M to $96.0MOct 6, 2023 to Feb 12, 2024
- RAUM · $183M to $223MOct 6, 2023 to Feb 12, 2024
- Accounts · 1,032 to 1,170Nov 8, 2022 to Feb 16, 2023
Signals
1 dated events
- S•••••• F•••••••• C•••••••• I••• filed its initial SEC registration (Form ADV)Apr 2, 2019 · 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
- advisors@swisherfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tracy@swisherfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brandon@swisherfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lori@swisherfinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-890-1930reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 614-890-1981reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- S••••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-890-1930reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- swisherfinancial.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- swisherfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $63.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026