DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

R•••••••• C•••••• A•••••••• I•••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $165M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $165M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 16 Mar 2026, RAUM $138M to $165M (+19.2%) on the Form ADV filed 16 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 128974 · SEC 801-122483 · 10 filingsShow

CRD 128974SEC 801-122483First filing on the tape Apr 2, 2012, latest Mar 16, 2026SEC status approved since Oct 12, 2021IAPD

RAUM

$165M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$165M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$165M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM +18% a year over three years · the tape starts Apr 2, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$165M as of Mar 16, 2026

Apr 2, 2012$45.7M then

HNW client RAUM$136M as of Mar 16, 2026

Feb 4, 2022$121M then

State-registered IARs (5.B.3)1 as of Mar 16, 2026

Apr 2, 20120 then

Employees (5.A)1 as of Mar 16, 2026

Feb 4, 20221 then

Private funds: no history

RAUM +19% over the last fiscal year+18% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Mar 16, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $165MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 54derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $8.5MderivedHNW RAUM over HNW clients
Average account: $970,958derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -5.3%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: 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

82% high-net-worth individuals, 18% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$136M82%
Individuals$29.0M18%
Charitable organizations$281,7410.2%

Individual clients: 38reported
HNW clients: 16reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 170reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

J•••• T••••• A••••• from B••• O•• S••••••••• C•••••••••
Jul 16, 2004 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J•••• T••••• A•••••	Dublin, Oh	Jul 16, 2004	31 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• J••••• T••••• · President/Chief Compliance Officercontrol
since 09/2003 · 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 · 177 to 170
Mar 5, 2025 to Mar 16, 2026
HNW clients · 21 to 16
Mar 5, 2025 to Mar 16, 2026
Individual clients · 36 to 38
Mar 5, 2025 to Mar 16, 2026
Discretionary RAUM · $138M to $165M
Mar 5, 2025 to Mar 16, 2026
HNW RAUM · $123M to $136M
Mar 5, 2025 to Mar 16, 2026

Full history · 63 changes

Individual RAUM · $14.7M to $29.0M
Mar 5, 2025 to Mar 16, 2026
RAUM · $138M to $165M
Mar 5, 2025 to Mar 16, 2026
Accounts · 172 to 177
Jul 9, 2024 to Mar 5, 2025
Charity clients · 0 to 1
Jul 9, 2024 to Mar 5, 2025
HNW clients · 9 to 21
Jul 9, 2024 to Mar 5, 2025
Individual clients · 48 to 36
Jul 9, 2024 to Mar 5, 2025
Financial planning clients · 0 to 0
Jul 9, 2024 to Mar 5, 2025
HQ city · unset to
Jul 9, 2024 to Mar 5, 2025
HQ state · unset to
Jul 9, 2024 to Mar 5, 2025
Discretionary RAUM · $118M to $138M
Jul 9, 2024 to Mar 5, 2025
HNW RAUM · $86.1M to $123M
Jul 9, 2024 to Mar 5, 2025
Individual RAUM · $32.3M to $14.7M
Jul 9, 2024 to Mar 5, 2025
RAUM · $118M to $138M
Jul 9, 2024 to Mar 5, 2025
Accounts · 187 to 172
Feb 24, 2023 to Feb 15, 2024
Charity clients · 1 to 0
Feb 24, 2023 to Feb 15, 2024
HNW clients · 20 to 9
Feb 24, 2023 to Feb 15, 2024
Individual clients · 37 to 48
Feb 24, 2023 to Feb 15, 2024
Discretionary RAUM · $100M to $118M
Feb 24, 2023 to Feb 15, 2024
HNW RAUM · $85.6M to $86.1M
Feb 24, 2023 to Feb 15, 2024
Individual RAUM · $14.6M to $32.3M
Feb 24, 2023 to Feb 15, 2024
RAUM · $100M to $118M
Feb 24, 2023 to Feb 15, 2024
Accounts · 188 to 187
Feb 4, 2022 to Feb 24, 2023
Charity clients · 0 to 1
Feb 4, 2022 to Feb 24, 2023
HNW clients · 21 to 20
Feb 4, 2022 to Feb 24, 2023
Individual clients · 36 to 37
Feb 4, 2022 to Feb 24, 2023
Financial planning clients · unset to 0
Feb 4, 2022 to Feb 24, 2023
Other offices · 1 to 0
Feb 4, 2022 to Feb 24, 2023
Discretionary RAUM · $138M to $100M
Feb 4, 2022 to Feb 24, 2023
HNW RAUM · $121M to $85.6M
Feb 4, 2022 to Feb 24, 2023
Individual RAUM · $17.2M to $14.6M
Feb 4, 2022 to Feb 24, 2023
RAUM · $138M to $100M
Feb 4, 2022 to Feb 24, 2023
Accounts · 175 to 188
Sep 24, 2021 to Feb 4, 2022
HNW clients · 0 to 21
Sep 24, 2021 to Feb 4, 2022
Individual clients · 61 to 36
Sep 24, 2021 to Feb 4, 2022
Discretionary RAUM · $127M to $138M
Sep 24, 2021 to Feb 4, 2022
HNW RAUM · $0 to $121M
Sep 24, 2021 to Feb 4, 2022
Individual RAUM · $127M to $17.2M
Sep 24, 2021 to Feb 4, 2022
RAUM · $127M to $138M
Sep 24, 2021 to Feb 4, 2022
Accounts · 181 to 175
May 4, 2012 to Sep 10, 2021
Advisory employees · unset to 1.0
May 4, 2012 to Sep 10, 2021
Advisory activities · 3 to 1
May 4, 2012 to Sep 10, 2021
Charity clients · unset to 0.0
May 4, 2012 to Sep 10, 2021
Corporate clients · unset to 0.0
May 4, 2012 to Sep 10, 2021
HNW clients · unset to 0.0
May 4, 2012 to Sep 10, 2021
Individual clients · unset to 61.0
May 4, 2012 to Sep 10, 2021
Pension plan clients · unset to 0.0
May 4, 2012 to Sep 10, 2021
Pooled vehicle clients · unset to 0.0
May 4, 2012 to Sep 10, 2021
Employees · unset to 1.0
May 4, 2012 to Sep 10, 2021
Financial planning clients · 1-10 to unset
May 4, 2012 to Sep 10, 2021
State-registered IARs · 0 to 1
May 4, 2012 to Sep 10, 2021
Other offices · unset to 1.0
May 4, 2012 to Sep 10, 2021
Discretionary RAUM · $37.4M to $127M
May 4, 2012 to Sep 10, 2021
HNW RAUM · unset to 0.0
May 4, 2012 to Sep 10, 2021
Individual RAUM · unset to 127369976.0
May 4, 2012 to Sep 10, 2021
Non-discretionary RAUM · $8.3M to $0
May 4, 2012 to Sep 10, 2021
Pension RAUM · unset to 0.0
May 4, 2012 to Sep 10, 2021
Pooled vehicle RAUM · unset to 0.0
May 4, 2012 to Sep 10, 2021
RAUM · $45.7M to $127M
May 4, 2012 to Sep 10, 2021

Signals

1 dated events

••• Locked
Sep 10, 2021 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $165Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026