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.

Former SEC-registered adviser

Cassady Schiller Wealth Management, LLC

Former SEC-registered adviserCincinnati, OhioCRD 129113SEC 801-110201websiteIAPD
Latest filing Jun 10, 2024
First filing on the tape Feb 25, 2012 · 37 filings
SEC status approved since Mar 20, 2017
RAUM
$517M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
99%
$511M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$517M as of Mar 15, 2024
Feb 25, 2012$62.2M then
HNW client RAUM$458M as of Mar 15, 2024
Mar 19, 2018$157M then
State-registered IARs (5.B.3)8 as of Mar 15, 2024
Feb 25, 20120 then
Employees (5.A)9 as of Mar 15, 2024
Mar 19, 20186 then
Private funds: no history
RAUM +25% over the last fiscal year+13% a year over threeIARs 7 to 8
Practice profile
derived from the filing of Jun 10, 2024; every figure names its basis
RAUM per advisor
$64.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
37derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$574,904derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+14%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.8%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Custody
$247M, 134 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$458M88%
  • Individuals$53.3M10%
  • Corporations and businesses$5.4M1.0%
  • Pooled investment vehicles$541,8390.1%
  • Pension and profit-sharing plans$226,3130.0%
  • Charitable organizations$133,6560.0%
Individual clients
171reported
HNW clients
127reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
900reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$247M for 134 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
  • 6 left for Mariner
    Feb 18, 2025 · Cincinnati, Oh · Firm absorbed
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • William Michael Clark · Managing Member, President, Ccocontrol
      since 11/1999 · owns 10% to 25%
    • Barry James Mcgrath · Membercontrol
      since 01/2016 · owns 10% to 25%
    • Christopher Brian Stautberg · Membercontrol
      since 05/2024 · owns 25% to 50% of Bulls Not Bearrs LLC
    Entity owners
    • Bulls Not Bearrs LLC · Managing Member
      direct · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • Mwc, LLC
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Cincinnati, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Employees · 9 to 8
      Mar 15, 2024 to May 30, 2024
    • Related insurance company · true to false
      Mar 15, 2024 to May 30, 2024
    • Accounts · 843 to 900
      Mar 22, 2023 to Mar 15, 2024
    • Advisory employees · 7 to 8
      Mar 22, 2023 to Mar 15, 2024
    • Corporate clients · unset to 5.0
      Mar 22, 2023 to Mar 15, 2024
    • HNW clients · 113 to 127
      Mar 22, 2023 to Mar 15, 2024
    • Individual clients · 166 to 171
      Mar 22, 2023 to Mar 15, 2024
    • Pension plan clients · 3 to 1
      Mar 22, 2023 to Mar 15, 2024
    • Pooled vehicle clients · unset to 2.0
      Mar 22, 2023 to Mar 15, 2024
    • Assets in custody · $236M to $247M
      Mar 22, 2023 to Mar 15, 2024
    • State-registered IARs · 7 to 8
      Mar 22, 2023 to Mar 15, 2024
    • Discretionary RAUM · $376M to $479M
      Mar 22, 2023 to Mar 15, 2024
    • HNW RAUM · $359M to $458M
      Mar 22, 2023 to Mar 15, 2024
    • Individual RAUM · $54.6M to $53.3M
      Mar 22, 2023 to Mar 15, 2024
    • Non-discretionary RAUM · $37.5M to $38.5M
      Mar 22, 2023 to Mar 15, 2024
    • Pension RAUM · $353,856 to $226,313
      Mar 22, 2023 to Mar 15, 2024
    • Pooled vehicle RAUM · unset to 541839.0
      Mar 22, 2023 to Mar 15, 2024
    • RAUM · $414M to $517M
      Mar 22, 2023 to Mar 15, 2024
    • Accounts · 788 to 843
      Oct 14, 2022 to Mar 22, 2023
    • Advisory employees · 6 to 7
      Oct 14, 2022 to Mar 22, 2023
    • Corporate clients · 0.0 to unset
      Oct 14, 2022 to Mar 22, 2023
    • HNW clients · 115 to 113
      Oct 14, 2022 to Mar 22, 2023
    • Individual clients · 152 to 166
      Oct 14, 2022 to Mar 22, 2023
    • Pension plan clients · 2 to 3
      Oct 14, 2022 to Mar 22, 2023
    • Pooled vehicle clients · 0.0 to unset
      Oct 14, 2022 to Mar 22, 2023
    • Assets in custody · $315M to $236M
      Oct 14, 2022 to Mar 22, 2023
    • Employees · 8 to 9
      Oct 14, 2022 to Mar 22, 2023
    • Financial planning clients · 1-10 to 251-500
      Oct 14, 2022 to Mar 22, 2023
    • State-registered IARs · 6 to 7
      Oct 14, 2022 to Mar 22, 2023
    • Discretionary RAUM · $385M to $376M
      Oct 14, 2022 to Mar 22, 2023
    • HNW RAUM · $373M to $359M
      Oct 14, 2022 to Mar 22, 2023
    • Individual RAUM · $52.0M to $54.6M
      Oct 14, 2022 to Mar 22, 2023
    • Non-discretionary RAUM · $40.0M to $37.5M
      Oct 14, 2022 to Mar 22, 2023
    • Pension RAUM · $184,584 to $353,856
      Oct 14, 2022 to Mar 22, 2023
    • Pooled vehicle RAUM · 0.0 to unset
      Oct 14, 2022 to Mar 22, 2023
    • RAUM · $425M to $414M
      Oct 14, 2022 to Mar 22, 2023
    • Accounts · 783 to 788
      Dec 22, 2021 to Mar 23, 2022
    • HNW clients · 112 to 115
      Dec 22, 2021 to Mar 23, 2022
    • Individual clients · 141 to 152
      Dec 22, 2021 to Mar 23, 2022
    • Assets in custody · $233M to $315M
      Dec 22, 2021 to Mar 23, 2022
    Signals
    14 dated events
    • Cassady Schiller Wealth Management, Llc no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $517.4M)
      Mar 6, 2025 · Left the SEC roster · derived
    • Elise Catherine Schulok left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-02-10)
      Feb 18, 2025 · Advisor changed firm · fact
    • James Barry Mcgrath left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-02-12)
      Feb 18, 2025 · Advisor changed firm · fact
    • Garrett L Cobb left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-01-31)
      Feb 18, 2025 · Advisor changed firm · fact
    • Cassady Schiller Wealth Management, LLC's advisors moved to Mariner (Cincinnati, OH): 6 of 6 registered, on the same day
      Feb 18, 2025 · Firm absorbed (people side) · derived
    • Luke Hardy Kremzar left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-02-10)
      Feb 18, 2025 · Advisor changed firm · fact
    • Michael William Clark left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-03-06)
      Feb 18, 2025 · Advisor changed firm · fact
    • Ethan Thomas Jackson left Cassady Schiller Wealth Management, Llc for Mariner (registered 2025-02-10)
      Feb 18, 2025 · Advisor changed firm · fact
    • Jon Timothy Witham (Chief Compliance Officer / Member) no longer on Schedule A of Cassady Schiller Wealth Management, Llc (listed 2024-03-15, absent 2024-05-30)
      May 30, 2024 · Control person left · inference
    • Timothy Jon Witham left Cassady Schiller Wealth Management, Llc for Balanced Life Planning (registered 2024-11-04)
      May 29, 2024 · Advisor changed firm · fact
    • Cassady Schiller Wealth Management, Llc reported RAUM $517.4M, up 25% from $413.8M (2023-03-22 to 2024-03-15)
      Mar 15, 2024 · RAUM change · derived
    • Megan Kathleen Hammann left Cassady Schiller Wealth Management, Llc for Wealthquest Corporation (registered 2024-01-08)
      Jul 26, 2022 · Advisor changed firm · fact
    • James Marc Wambaugh (Chief Compliance Officer) no longer on Schedule A of Cassady Schiller Wealth Management, Llc (listed 2020-12-08, absent 2021-02-04)
      Feb 4, 2021 · Control person left · inference
    • Cassady Schiller Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Mar 15, 2017 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026