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•• P•••••• I••••••••• G••••• I•••
Latest filing Mar 20, 2026
First filing on the tape Jan 31, 2012 · 19 filings
SEC status approved since Nov 7, 2003
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$179M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.7M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$179M as of Mar 20, 2026
May 1, 2012$103M then
HNW client RAUM$141M as of Mar 20, 2026
Jul 31, 2019$100M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
May 1, 20120 then
Employees (5.A)4 as of Mar 20, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +14% over the last fiscal year+6.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- $89.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $390,728derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $19.6M, 20 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$141M78%
- Individuals$38.6M22%
- Individual clients
- 142reported
- HNW clients
- 42reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 459reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.6M for 20 clientsreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| A•••••• A••••• S••••••• | Kettering, Oh | Oct 8, 2014 | 37 y | 5 |
| N••••••• D•••• S•••••••• | Kettering, Oh | Aug 25, 2020 | 16 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
- N••••••• D•••• S•••••••• from F•••• F•••••••• C•••••• A••••••• L••Aug 25, 2020 · Other
- A•••••• A••••• S••••••• from W•••••• I••••••••• S•••••••••Oct 8, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• R•••••• · Presidentcontrolsince 04/1996 · owns 50% to 75%
- S•••••••• A••••••• A••••• · Vice Presidentcontrolsince 05/2002 · owns 50% to 75%
- S••••••••• N•••••••• D•••• · Chief Compliance Officer, Chief Investment Officercontrolsince 01/2022 · 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 |
|---|---|---|---|---|---|
| Kettering, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 454 to 459Mar 19, 2025 to Mar 20, 2026
- HNW clients · 40 to 42Mar 19, 2025 to Mar 20, 2026
- Individual clients · 124 to 142Mar 19, 2025 to Mar 20, 2026
- Assets in custody · $19.2M to $19.6MMar 19, 2025 to Mar 20, 2026
- HQ city · CENTERVILLE to KETTERINGMar 19, 2025 to Mar 20, 2026
- Discretionary RAUM · $156M to $179MMar 19, 2025 to Mar 20, 2026
- HNW RAUM · $118M to $141MMar 19, 2025 to Mar 20, 2026
- Individual RAUM · $39.1M to $38.6MMar 19, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $968,806 to $777,255Mar 19, 2025 to Mar 20, 2026
- RAUM · $157M to $179MMar 19, 2025 to Mar 20, 2026
- Accounts · 438 to 454Nov 13, 2024 to Mar 19, 2025
- HNW clients · 33 to 40Nov 13, 2024 to Mar 19, 2025
- Individual clients · 92 to 124Nov 13, 2024 to Mar 19, 2025
- Assets in custody · $42.6M to $19.2MNov 13, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 1-10Nov 13, 2024 to Mar 19, 2025
- Discretionary RAUM · $147M to $156MNov 13, 2024 to Mar 19, 2025
- HNW RAUM · $111M to $118MNov 13, 2024 to Mar 19, 2025
- Individual RAUM · $36.5M to $39.1MNov 13, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $590,432 to $968,806Nov 13, 2024 to Mar 19, 2025
- RAUM · $148M to $157MNov 13, 2024 to Mar 19, 2025
- Accounts · 468 to 438Mar 30, 2023 to Feb 14, 2024
- HNW clients · 36 to 33Mar 30, 2023 to Feb 14, 2024
- Individual clients · 91 to 92Mar 30, 2023 to Feb 14, 2024
- Commission compensation · true to falseMar 30, 2023 to Feb 14, 2024
- Assets in custody · unset to 42638540.0Mar 30, 2023 to Feb 14, 2024
- Custody of client assets · false to trueMar 30, 2023 to Feb 14, 2024
- Employees · 6 to 4Mar 30, 2023 to Feb 14, 2024
- State-registered IARs · 3 to 2Mar 30, 2023 to Feb 14, 2024
- Discretionary RAUM · $147M to $147MMar 30, 2023 to Feb 14, 2024
- HNW RAUM · $119M to $111MMar 30, 2023 to Feb 14, 2024
- Individual RAUM · $29.0M to $36.5MMar 30, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $1.0M to $590,432Mar 30, 2023 to Feb 14, 2024
- RAUM · $148M to $148MMar 30, 2023 to Feb 14, 2024
- Accounts · 482 to 468Jun 7, 2022 to Mar 30, 2023
- HNW clients · 40 to 36Jun 7, 2022 to Mar 30, 2023
- Individual clients · 83 to 91Jun 7, 2022 to Mar 30, 2023
- Discretionary RAUM · $175M to $147MJun 7, 2022 to Mar 30, 2023
- HNW RAUM · $134M to $119MJun 7, 2022 to Mar 30, 2023
- Individual RAUM · $42.0M to $29.0MJun 7, 2022 to Mar 30, 2023
- RAUM · $176M to $148MJun 7, 2022 to Mar 30, 2023
Signals
1 dated events
- David Nicholas Schubeler (Chief Compliance Officer, Chief Investment Officer) appeared on Schedule A of T•• P•••••• I••••••••• G••••• I•••Mar 30, 2022 · Control person joined · 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
- 937-434-0500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- t••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 937-434-0500reportedpublic record, Form ADV, Mar 20, 2026
- Team page
- t••••••.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
- $89.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026