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
D• C• V••• • C••••••• L••
Latest filing Mar 7, 2026
First filing on the tape Mar 23, 2012 · 15 filings
SEC status approved since May 14, 2018
RAUM
$233M
reported, Item 5.F
Discretionary
4.6%
of RAUM
Private clients
99%
$232M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$233M
derived; firm RAUM over IAPD count
Employees
1
1 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$233M as of Mar 7, 2026
Mar 23, 2012$62.5M then
HNW client RAUM$220M as of Mar 7, 2026
Mar 1, 2019$110M then
State-registered IARs (5.B.3)1 as of Mar 7, 2026
Mar 23, 20120 then
Employees (5.A)1 as of Mar 7, 2026
Mar 1, 20191 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $233MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.5MderivedHNW RAUM over HNW clients
- Average account
- $958,562derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 4.6%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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
- +3.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $42.7M, 36 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)
- compensates non-employees for client referrals (8.G.2)
- 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$220M94%
- Individuals$11.8M5.1%
- Corporations and businesses$1.2M0.5%
- Individual clients
- 17reported
- HNW clients
- 40reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 243reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.7M for 36 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• C•••••• V••• | Hilton Head Islland, Sc | Jan 20, 2004 | 24 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
- D•••• C•••••• V••• from E•••• • Y•••• I••••••••• A••••••• L••Jan 20, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•••• D••••• C•••••• · President, Chief Compliance Officer And Managing Membercontrolsince 09/2002 · owns 75% or more
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 · 233 to 243Mar 2, 2025 to Mar 7, 2026
- Charity clients · unset to 0.0Mar 2, 2025 to Mar 7, 2026
- HNW clients · 37 to 40Mar 2, 2025 to Mar 7, 2026
- Individual clients · 18 to 17Mar 2, 2025 to Mar 7, 2026
- Assets in custody · $46.1M to $42.7MMar 2, 2025 to Mar 7, 2026
- Discretionary RAUM · $10.0M to $10.6MMar 2, 2025 to Mar 7, 2026
- HNW RAUM · $193M to $220MMar 2, 2025 to Mar 7, 2026
- Individual RAUM · $11.0M to $11.8MMar 2, 2025 to Mar 7, 2026
- Non-discretionary RAUM · $195M to $222MMar 2, 2025 to Mar 7, 2026
- RAUM · $205M to $233MMar 2, 2025 to Mar 7, 2026
- Accounts · 229 to 233Mar 12, 2024 to Mar 2, 2025
- HNW clients · 34 to 37Mar 12, 2024 to Mar 2, 2025
- Individual clients · 19 to 18Mar 12, 2024 to Mar 2, 2025
- Assets in custody · $41.1M to $46.1MMar 12, 2024 to Mar 2, 2025
- Financial planning clients · 51-100 to 51-100Mar 12, 2024 to Mar 2, 2025
- HQ city · unset to Mar 12, 2024 to Mar 2, 2025
- HQ state · unset to Mar 12, 2024 to Mar 2, 2025
- Discretionary RAUM · $9.2M to $10.0MMar 12, 2024 to Mar 2, 2025
- HNW RAUM · $175M to $193MMar 12, 2024 to Mar 2, 2025
- Individual RAUM · $11.9M to $11.0MMar 12, 2024 to Mar 2, 2025
- Non-discretionary RAUM · $179M to $195MMar 12, 2024 to Mar 2, 2025
- RAUM · $188M to $205MMar 12, 2024 to Mar 2, 2025
- Accounts · 233 to 229Mar 15, 2023 to Mar 4, 2024
- Advisory activities · 3 to 2Mar 15, 2023 to Mar 4, 2024
- Charity clients · 2.0 to unsetMar 15, 2023 to Mar 4, 2024
- Corporate clients · 0 to 2Mar 15, 2023 to Mar 4, 2024
- HNW clients · 32 to 34Mar 15, 2023 to Mar 4, 2024
- Individual clients · 22 to 19Mar 15, 2023 to Mar 4, 2024
- Assets in custody · $48.9M to $41.1MMar 15, 2023 to Mar 4, 2024
- Discretionary RAUM · $9.4M to $9.2MMar 15, 2023 to Mar 4, 2024
- HNW RAUM · $155M to $175MMar 15, 2023 to Mar 4, 2024
- Individual RAUM · $12.6M to $11.9MMar 15, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $159M to $179MMar 15, 2023 to Mar 4, 2024
- RAUM · $169M to $188MMar 15, 2023 to Mar 4, 2024
- Accounts · 221 to 233Mar 11, 2022 to Mar 15, 2023
- Charity clients · 3 to 2Mar 11, 2022 to Mar 15, 2023
- HNW clients · 31 to 32Mar 11, 2022 to Mar 15, 2023
- Individual clients · 20 to 22Mar 11, 2022 to Mar 15, 2023
- Assets in custody · $50.6M to $48.9MMar 11, 2022 to Mar 15, 2023
- Discretionary RAUM · $9.5M to $9.4MMar 11, 2022 to Mar 15, 2023
Signals
1 dated events
- D• C• V••• • C••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2018 · 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
- Principal office phone
- 513-604-2659reportedpublic record, Form ADV, Mar 7, 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
- $233Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026