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••• F•••••••• S•••••••
Legal name D••• F•••••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 29, 2012 · 22 filings
SEC status approved since Jan 2, 2004
RAUM
$382M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$228M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$95.5M
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$382M as of Mar 27, 2026
Mar 29, 2012$135M then
HNW client RAUM$83.7M as of Mar 27, 2026
Mar 28, 2018$13.8M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 29, 20120 then
Employees (5.A)9 as of Mar 27, 2026
Mar 21, 201312 then
Private funds: no history
RAUM +20% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $95.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $727,636derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $89.2M, 153 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$144M38%
- Pension and profit-sharing plans$132M34%
- High-net-worth individuals$83.7M22%
- Corporations and businesses$19.1M5.0%
- Charitable organizations$3.3M0.9%
- Individual clients
- 225reported
- HNW clients
- 20reported
- Pension plan clients
- 32reported
- Charitable clients
- n/areported
- Accounts
- 525reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $89.2M for 153 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- E••••• J••••• W••••• to D••• I•••••••••May 26, 2023 · Other
- K•••••••• E•••••••• B••••••••• to D••• I•••••••••Jun 21, 2011 · Other
- M•••••• T•••••• T•••• to R•••••••• W••••• M••••••••• L••Jun 14, 2011 · Other
- J••••••• J• S••••••• to D••• I•••••••••Mar 18, 2011 · Other
- M••• E••••• S••••••• to B•••• S••••••• T•••• W••••• A•••••••• L••Sep 8, 2008 · Other
- J•••• B•••• G••••• to B••• A•••• M••••••••• I•••Nov 15, 2006 · Other
- A•••• L••• L•••••• to A•• I••••••••• A••••••• S•••••••• L••Sep 30, 2005 · Other
Joined, latest
- K•••••••• E•••••••• B••••••••• from A••••••••• F•••••••• S•••••••• L••Mar 14, 2011 · Other
- J••••••• J• S••••••• from U•• F•••••••• S••••••• I•••Jul 20, 2010 · Other
- M•••••• T•••••• T•••• from D••• I•••••••••Mar 27, 2007 · Other
- M••• E••••• S••••••• from D••• I•••••••••Sep 16, 2004 · Other
- A•••• L••• L•••••• from E•••••••• A•••••••• L••Sep 15, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P•••••• J••• · Vice President, Chief Operating Officercontrolsince 02/2016 · owns less than 5%
- M•••••• S••••••• M•••••• · Ceo, Presidentcontrolsince 11/2003 · owns less than 5%
- R••••••• D••••• E•••••••• · Secretary/Treasurer/Chief Compliance Officer/Chief Financial Officercontrolsince 10/2005 · owns less than 5%
- M•••••• P•••••• J••• · Elected Managercontrolsince 12/2023 · owns F of T•• C••• D••• C••••••••• L••
- M•••••• S••••••• M•••••• · Trusteecontrolsince 10/2023 · owns F of D••••• D• D••• T•••• D•••• 7••••••••
- M•••••• S••••••• M•••••• · Trusteecontrolsince 10/2023 · owns F of T•••••• M• D••• T•••• D•••• 2••••••••
- M•••••• S••••••• M•••••• · Elected Manager, Presidentcontrolsince 03/2017 · owns F of T•• C••• D••• C••••••••• L••
- R••••••• D••••• E•••••••• · Elected Managercontrolsince 12/2023 · owns F of T•• C••• D••• C••••••••• L••
Entity owners
- C••• D•••• L•• ••••• C••• D•••• I•••• · LLC Memeberdirect · owns 75% or more
- D••••• D• D••• T•••• D•••• 7•••••••• · LLC Memberindirect · owns 25% to 50% of T•• C••• D••• C••••••••• L••
- T•••••• M• D••• T•••• D•••• 2•••••••• · LLC Memberindirect · owns 25% to 50% of T•• C••• D••• C••••••••• L••
- T•• C••• D••• C••••••••• L•• · LLC Memberindirect · owns 75% or more of C.H. D•••, LLC
Related persons
Schedule D 7.A
- D••• C•••••• M•••••••••investment advisernRAUM $1.1B
- D••• I•••••••••investment advisernRAUM $909M
Advisers that list D••• F•••••••• S••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Beavercreek, Oh · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 486 to 525Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 4 to 5Mar 26, 2025 to Mar 27, 2026
- HNW clients · 14 to 20Mar 26, 2025 to Mar 27, 2026
- Individual clients · 213 to 225Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $82.6M to $89.2MMar 26, 2025 to Mar 27, 2026
- Employees · 8 to 9Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $320M to $382MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $59.5M to $83.7MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $125M to $144MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $115M to $132MMar 26, 2025 to Mar 27, 2026
- RAUM · $320M to $382MMar 26, 2025 to Mar 27, 2026
- Accounts · 462 to 486Mar 28, 2024 to Mar 26, 2025
- HNW clients · 10 to 14Mar 28, 2024 to Mar 26, 2025
- Individual clients · 210 to 213Mar 28, 2024 to Mar 26, 2025
- Pension plan clients · 31 to 32Mar 28, 2024 to Mar 26, 2025
- Assets in custody · $60.9M to $82.6MMar 28, 2024 to Mar 26, 2025
- Employees · 9 to 8Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 11-25Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $267M to $320MMar 28, 2024 to Mar 26, 2025
- HNW RAUM · $43.0M to $59.5MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $105M to $125MMar 28, 2024 to Mar 26, 2025
- Pension RAUM · $101M to $115MMar 28, 2024 to Mar 26, 2025
- RAUM · $267M to $320MMar 28, 2024 to Mar 26, 2025
- Accounts · 243 to 462Dec 8, 2023 to Mar 28, 2024
- Advisory employees · 5 to 4Dec 8, 2023 to Mar 28, 2024
- HNW clients · 7 to 10Dec 8, 2023 to Mar 28, 2024
- Individual clients · 207 to 210Dec 8, 2023 to Mar 28, 2024
- Pension plan clients · 25 to 31Dec 8, 2023 to Mar 28, 2024
- Assets in custody · $34.5M to $60.9MDec 8, 2023 to Mar 28, 2024
- Employees · 10 to 9Dec 8, 2023 to Mar 28, 2024
- Insurance-licensed employees · 4 to 3Dec 8, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 3Dec 8, 2023 to Mar 28, 2024
- Discretionary RAUM · $207M to $267MDec 8, 2023 to Mar 28, 2024
- HNW RAUM · $29.0M to $43.0MDec 8, 2023 to Mar 28, 2024
- Individual RAUM · $91.3M to $105MDec 8, 2023 to Mar 28, 2024
- Pension RAUM · $69.4M to $101MDec 8, 2023 to Mar 28, 2024
- RAUM · $207M to $267MDec 8, 2023 to Mar 28, 2024
- Accounts · 364 to 243Mar 29, 2022 to Mar 30, 2023
- HNW clients · 10 to 7Mar 29, 2022 to Mar 30, 2023
- Individual clients · 190 to 207Mar 29, 2022 to Mar 30, 2023
Signals
3 dated events
- Duane Dennis Dean (Director) no longer on Schedule A of D••• F•••••••• S••••••• (listed 2023-03-30, absent 2023-12-08)Dec 8, 2023 · Control person left · inference
- Maxwell Terence Dean (Trustee) no longer on Schedule A of D••• F•••••••• S••••••• (listed 2023-03-30, absent 2023-12-08)Dec 8, 2023 · Control person left · inference
- E••••• J••••• W••••• left D••• F•••••••• S••••••• for D••• I••••••••• (registered 2015-03-24)May 26, 2023 · Advisor changed firm · 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
- 800-327-3656reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/CHD•••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- CHD•••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 937-222-9531reportedpublic record, Form ADV, Mar 27, 2026
- Team page
- c•••••.comreportedpublished 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
- $95.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026