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.
SEC-registered adviser
Windsor Advisory Group, LLC
Latest filing Jul 1, 2026
First filing on the tape Mar 26, 2012 · 46 filings
SEC status approved since Aug 8, 2002
RAUM
$2.9B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
80%
$2.3B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$244M
derived; firm RAUM over IAPD count
Employees
22
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$2.9B as of Jul 1, 2026
Mar 26, 2012$430M then
HNW client RAUM$2.3B as of Jul 1, 2026
Mar 26, 2018$907M then
State-registered IARs (5.B.3)14 as of Jul 1, 2026
Mar 25, 20130 then
Employees (5.A)22 as of Jul 1, 2026
Mar 25, 20136 then
Private funds4 as of Jul 1, 2026
Mar 26, 20191 then
RAUM +13% over the last fiscal year+16% a year over threeIARs 14 to 14
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $244MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $1.3B, 400 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)
- 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$2.3B78%
- Pooled investment vehicles$335M11%
- Corporations and businesses$204M7.0%
- Individuals$42.5M1.5%
- Charitable organizations$39.8M1.4%
- Pension and profit-sharing plans$11.6M0.4%
- Individual clients
- 105reported
- HNW clients
- 337reported
- Pension plan clients
- 2reported
- Charitable clients
- 15reported
- Accounts
- 1,704reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.3B for 400 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.11 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Eugene Mozola | Columbus, Oh | Jul 18, 2017 | 13 y | 0 |
| Jonathon Scott Eesley | Columbus, Oh | Jul 25, 2017 | 20 y | 1 |
| Harry Morgan Dye | Columbus, Oh | Aug 7, 2017 | 29 y | 0 |
| Clayton A Hall | Columbus, Oh | Aug 23, 2018 | 18 y | 0 |
| Carter Elizabeth GerlachCertified Financial Planner | Columbus, Oh | Sep 17, 2019 | 13 y | 0 |
| Samantha Irene Buck | Columbus, Oh | Jun 16, 2022 | 10 y | 0 |
| Jacob Thomas Chockran | Columbus, Oh | Dec 21, 2022 | 10 y | 0 |
| Cory Daniel HinamanChartered Financial Analyst | Columbus, Oh | Jan 24, 2023 | 11 y | 0 |
| Evan Joseph Yakubov | Columbus, Oh | Jun 27, 2024 | 13 y | 0 |
| Matthew Hunter Reber | Columbus, Oh | Feb 25, 2025 | 11 y | 0 |
| Alexander Maxim Moeslein | Columbus, Oh | Jun 3, 2025 | 11 y | 0 |
| Paul Barclay Geiger | Columbus, Oh | Jul 22, 2025 | 10 y | 3 |
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
- Nicholas Jeffery Daniel to Columbus Wealth ManagementOct 18, 2021 · RIA to a state-registered adviser
- Joseph Stuart Davies to Chapel Bridge Wealth AdvisorsMay 13, 2021 · RIA to RIA
Joined, latest
- Paul Barclay Geiger from Meeder Advisory Services, Inc.Jul 22, 2025 · RIA to RIA
- Jonathon Scott Eesley from Alliancebernstein L.P.Jul 25, 2017 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Wag-Hci Fund, LLC | Other Private Fund | $108M | 95 | Sep 5, 2018 |
| Wag-Lss2, LLC | Other Private Fund | $69.8M | 98 | Mar 29, 2022 |
| Wag-Tide Rock, LLC | $66.6M | 80 | Jul 1, 2026 | |
| Wag-Encap12, LLC | Other Private Fund | $40.1M | 30 | Mar 21, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Morgan Harry Dye · Membercontrolsince 07/2002 · owns 25% to 50%
- Scott Jonathon Eesley · Membercontrolsince 12/2013 · owns 25% to 50%
- A Clayton Hall · Membercontrolsince 12/2021 · owns 5% to 10%
- Eugene John Mozola · Membercontrolsince 12/2021 · owns 5% to 10%
- Gullifer Stephanie Weir · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
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 | 12 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,558 to 1,704Jun 4, 2025 to Mar 26, 2026
- Corporate clients · 73 to 80Jun 4, 2025 to Mar 26, 2026
- HNW clients · 309 to 337Jun 4, 2025 to Mar 26, 2026
- Individual clients · 98 to 105Jun 4, 2025 to Mar 26, 2026
- Assets in custody · $843M to $1.3BJun 4, 2025 to Mar 26, 2026
- Employees · 21 to 22Jun 4, 2025 to Mar 26, 2026
- Discretionary RAUM · $2.6B to $2.9BJun 4, 2025 to Mar 26, 2026
- HNW RAUM · $2.0B to $2.3BJun 4, 2025 to Mar 26, 2026
- Individual RAUM · $36.6M to $42.5MJun 4, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $30.4M to $41.0MJun 4, 2025 to Mar 26, 2026
- Pension RAUM · $10.0M to $11.6MJun 4, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $268M to $335MJun 4, 2025 to Mar 26, 2026
- RAUM · $2.6B to $2.9BJun 4, 2025 to Mar 26, 2026
- Financial planning clients · 101-250 to 101-250Mar 27, 2025 to Jun 4, 2025
- Accounts · 1,428 to 1,558Jul 22, 2024 to Mar 27, 2025
- Advisory employees · 11 to 14Jul 22, 2024 to Mar 27, 2025
- Corporate clients · 66 to 73Jul 22, 2024 to Mar 27, 2025
- HNW clients · 281 to 309Jul 22, 2024 to Mar 27, 2025
- Individual clients · 84 to 98Jul 22, 2024 to Mar 27, 2025
- Pooled vehicle clients · 3 to 4Jul 22, 2024 to Mar 27, 2025
- Assets in custody · $685M to $843MJul 22, 2024 to Mar 27, 2025
- Employees · 19 to 21Jul 22, 2024 to Mar 27, 2025
- State-registered IARs · 11 to 14Jul 22, 2024 to Mar 27, 2025
- Private funds · 3 to 4Jul 22, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.7B to $2.6BJul 22, 2024 to Mar 27, 2025
- HNW RAUM · $1.6B to $2.0BJul 22, 2024 to Mar 27, 2025
- Individual RAUM · $26.3M to $36.6MJul 22, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $265M to $30.4MJul 22, 2024 to Mar 27, 2025
- Pension RAUM · $8.9M to $10.0MJul 22, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $176M to $268MJul 22, 2024 to Mar 27, 2025
- RAUM · $2.0B to $2.6BJul 22, 2024 to Mar 27, 2025
- Accounts · 1,332 to 1,428Nov 29, 2023 to Mar 21, 2024
- Advisory employees · 9 to 11Nov 29, 2023 to Mar 21, 2024
- Advisory activities · 4 to 5Nov 29, 2023 to Mar 21, 2024
- Charity clients · 12 to 15Nov 29, 2023 to Mar 21, 2024
- Corporate clients · 62 to 66Nov 29, 2023 to Mar 21, 2024
- HNW clients · 231 to 281Nov 29, 2023 to Mar 21, 2024
- Individual clients · 102 to 84Nov 29, 2023 to Mar 21, 2024
- Pension plan clients · 1 to 2Nov 29, 2023 to Mar 21, 2024
- Pooled vehicle clients · 2 to 3Nov 29, 2023 to Mar 21, 2024
Signals
5 dated events
- Windsor Advisory Group, Llc reported RAUM $2.6B, up 30% from $2.0B (2024-07-22 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- Gullifer Stephanie Weir (Chief Compliance Officer) appeared on Schedule A of Windsor Advisory Group, LlcMar 30, 2023 · Control person joined · fact
- A Clayton Hall (Member) appeared on Schedule A of Windsor Advisory Group, LlcMar 29, 2022 · Control person joined · fact
- Stuart Joseph Davies (Member) no longer on Schedule A of Windsor Advisory Group, Llc (listed 2020-06-25, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Windsor Advisory Group, Llc reported RAUM $1.2B, up 26% from $936.7M (2017-03-28 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Windsor Advisory Group, LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Business phone
- 614-545-0300reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/Windsor-advisory-group/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WINDSORADVISORYGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 614-545-0300reportedpublic record, Form ADV, Jul 1, 2026
- Team page
- windsoradvisorygroup.com/our-peoplereportedpublished 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
- $244Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026