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
T•• W••••• A•••••••• G••••• I•••
Latest filing Mar 5, 2026
First filing on the tape Mar 9, 2012 · 6 filings
SEC status approved since Apr 19, 2024
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$146M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$73.2M
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
6 filings and snapshots on the tape
RAUM$146M as of Mar 5, 2026
Mar 9, 2012$69.2M then
HNW client RAUM$113M as of Mar 5, 2026
Mar 7, 2025$93.8M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 7, 20252 then
Employees (5.A)3 as of Mar 5, 2026
Mar 7, 20253 then
Private funds: no history
RAUM +10% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 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
- $73.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $283,717derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$113M77%
- Individuals$33.6M23%
- Individual clients
- 89reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 516reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| K•••• A••• D••••• | Columbus, Oh | Mar 24, 2006 | 38 y | 0 |
| M•••••• G••••• D••••••Certified Financial Planner | Columbus, Oh | Mar 29, 2011 | 21 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
- K••••• A•••• K••• to P••••• M•••• F•••••••• A•••••••Nov 6, 2008 · Other
Joined, latest
- M•••••• G••••• D•••••• from A•••••• A••••••• S•••••••Mar 29, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• K••••• A••• · Ceo, Cco, Cfo And Coocontrolsince 07/2002 · owns 75% or more
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
- Accounts · 473 to 516Mar 7, 2025 to Mar 5, 2026
- HNW clients · 38 to 46Mar 7, 2025 to Mar 5, 2026
- Individual clients · 102 to 89Mar 7, 2025 to Mar 5, 2026
- Discretionary RAUM · $132M to $146MMar 7, 2025 to Mar 5, 2026
- HNW RAUM · $93.8M to $113MMar 7, 2025 to Mar 5, 2026
- Individual RAUM · $39.0M to $33.6MMar 7, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $529,798 to $475,832Mar 7, 2025 to Mar 5, 2026
- RAUM · $133M to $146MMar 7, 2025 to Mar 5, 2026
- Accounts · 488 to 473Apr 9, 2024 to Mar 7, 2025
- HNW clients · 39 to 38Apr 9, 2024 to Mar 7, 2025
- Individual clients · 110 to 102Apr 9, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Apr 9, 2024 to Mar 7, 2025
- Discretionary RAUM · $125M to $132MApr 9, 2024 to Mar 7, 2025
- HNW RAUM · $87.6M to $93.8MApr 9, 2024 to Mar 7, 2025
- Individual RAUM · $37.9M to $39.0MApr 9, 2024 to Mar 7, 2025
- Non-discretionary RAUM · $542,448 to $529,798Apr 9, 2024 to Mar 7, 2025
- RAUM · $126M to $133MApr 9, 2024 to Mar 7, 2025
- Accounts · 677 to 488May 11, 2012 to Mar 22, 2024
- Advisory employees · unset to 2.0May 11, 2012 to Mar 22, 2024
- Advisory activities · 3 to 2May 11, 2012 to Mar 22, 2024
- HNW clients · unset to 39.0May 11, 2012 to Mar 22, 2024
- Individual clients · unset to 110.0May 11, 2012 to Mar 22, 2024
- Employees · unset to 3.0May 11, 2012 to Mar 22, 2024
- Financial planning clients · 26-50 to 101-250May 11, 2012 to Mar 22, 2024
- State-registered IARs · unset to 2.0May 11, 2012 to Mar 22, 2024
- Other offices · unset to 0.0May 11, 2012 to Mar 22, 2024
- Discretionary RAUM · $66.8M to $125MMay 11, 2012 to Mar 22, 2024
- HNW RAUM · unset to 87602868.0May 11, 2012 to Mar 22, 2024
- Individual RAUM · unset to 37945320.0May 11, 2012 to Mar 22, 2024
- Non-discretionary RAUM · $2.3M to $542,448May 11, 2012 to Mar 22, 2024
- RAUM · $69.2M to $126MMay 11, 2012 to Mar 22, 2024
- Advisory activities · 4 to 3Mar 9, 2012 to May 11, 2012
Signals
1 dated events
- T•• W••••• A•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Mar 22, 2024 · 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
- 212-386-5575reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-459-9000reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-459-9099reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-459-9000reportedpublic record, Form ADV, Mar 5, 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
- $73.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026