DFX Intelligence

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I•••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $111M of regulatory assets across 3 registered advisors.

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

As of 2026-06-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $111M
Advisors: 3
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-06-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 130422 · SEC 801-134862 · 3 filingsShow

CRD 130422SEC 801-134862First filing on the tape Dec 12, 2025, latest Jun 5, 2026SEC status approved since Dec 2, 2025IAPD

RAUM

$111M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$111M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$37.0M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Dec 12, 2025

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

RAUM$111M as of Jun 5, 2026

Dec 12, 2025$105M then

HNW client RAUM$88.5M as of Jun 5, 2026

Dec 12, 2025$84.5M then

State-registered IARs (5.B.3)3 as of Jun 5, 2026

Dec 12, 20253 then

Employees (5.A)3 as of Jun 5, 2026

Dec 12, 20253 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Jun 5, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $37.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 33derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.8MderivedHNW RAUM over HNW clients
Average account: $312,042derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $16.7M, 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

80% high-net-worth individuals, 20% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$88.5M80%
Individuals$22.6M20%

Individual clients: 67reported
HNW clients: 32reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 356reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $16.7M for 20 clientsreported
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

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
S•••••• G••••• Z••••Certified Financial Planner	Loveland, Oh	Feb 23, 2004	22 y
J•••• S•••••• Z••••	Loveland, Oh	Feb 7, 2005	22 y
L•••• Z•••• G•••••••	Loveland, Oh	Oct 29, 2024	10 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

Z••••• S••••••• G••••• · Managing Directorcontrol
since 12/2003 · owns 75% or more
G•••••••• L••••• Z•••• · Chief Compliance Officer
since 10/2025 · owns less than 5%
Z••••• J••••• S•••••• · Vice President
since 10/2025 · 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
Loveland, Oh	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

custody status changedChange between filings · filing Jun 5, 2026
custody of client assets (Item 9.A): no on the filing of 2026-01-12, yes on the filing of 2026-06-05
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Assets in custody · unset to 16735912.0
Jan 12, 2026 to Jun 5, 2026
Custody of client assets · false to true
Jan 12, 2026 to Jun 5, 2026
Accounts · 350 to 356
Dec 12, 2025 to Jan 12, 2026
HNW clients · 34 to 32
Dec 12, 2025 to Jan 12, 2026
Individual clients · 65 to 67
Dec 12, 2025 to Jan 12, 2026

Full history · 9 changes

Discretionary RAUM · $105M to $111M
Dec 12, 2025 to Jan 12, 2026
HNW RAUM · $84.5M to $88.5M
Dec 12, 2025 to Jan 12, 2026
Individual RAUM · $20.9M to $22.6M
Dec 12, 2025 to Jan 12, 2026
RAUM · $105M to $111M
Dec 12, 2025 to Jan 12, 2026

Signals

No event on the tape.

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 24, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• 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, Jun 5, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 5, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• 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: $37.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.