DFX Intelligence
RIA Intelligence
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SEC-registered adviser
F••••• W••••• A••••••• G••••• L••
Latest filing Jun 30, 2026
First filing on the tape Mar 13, 2012 · 20 filings
SEC status approved since Mar 23, 2004
RAUM
$396M
reported, Item 5.F
Discretionary
74%
of RAUM
Private clients
100%
$394M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$396M as of Jun 30, 2026
Mar 13, 2012$106M then
HNW client RAUM$351M as of Jun 30, 2026
Mar 30, 2018$121M then
State-registered IARs (5.B.3)3 as of Jun 30, 2026
Mar 13, 20120 then
Employees (5.A)7 as of Jun 30, 2026
Jan 31, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+19% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 30, 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
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.4MderivedHNW RAUM over HNW clients
- Average account
- $474,532derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 74%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $28.3M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$351M89%
- Individuals$43.0M11%
- Corporations and businesses$1.8M0.4%
- Individual clients
- 115reported
- HNW clients
- 102reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 835reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $28.3M for 9 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J••• G••••••••Certified Financial Planner | Cincinnati, Oh | Mar 29, 2004 | 35 y | 1 |
| B••••••• A••• L•••••Certified Financial Planner | Cincinnati, Oh | Oct 20, 2017 | 26 y | 1 |
| B••••••• R••••• G•••••••• | Cincinnati, Oh | Oct 26, 2022 | 13 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
- B••••••• R••••• G•••••••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 26, 2022 · Affiliated broker-dealer or bank to independent RIA
- B••••••• A••• L••••• from S•••••••• A••••••• L••Oct 20, 2017 · Other
- R••••• J••• G•••••••• from O•••• F•• I•••Mar 29, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• R•••••• J••• · Member And Chief Compliance Officercontrolsince 03/2002 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 829 to 835Mar 18, 2025 to Mar 16, 2026
- Corporate clients · 1 to 2Mar 18, 2025 to Mar 16, 2026
- HNW clients · 89 to 102Mar 18, 2025 to Mar 16, 2026
- Individual clients · 121 to 115Mar 18, 2025 to Mar 16, 2026
- Assets in custody · $24.6M to $28.3MMar 18, 2025 to Mar 16, 2026
- Discretionary RAUM · $245M to $293MMar 18, 2025 to Mar 16, 2026
- HNW RAUM · $279M to $351MMar 18, 2025 to Mar 16, 2026
- Individual RAUM · $53.9M to $43.0MMar 18, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $89.8M to $103MMar 18, 2025 to Mar 16, 2026
- RAUM · $335M to $396MMar 18, 2025 to Mar 16, 2026
- Accounts · 732 to 829Mar 28, 2024 to Mar 18, 2025
- HNW clients · 88 to 89Mar 28, 2024 to Mar 18, 2025
- Individual clients · 110 to 121Mar 28, 2024 to Mar 18, 2025
- Pension plan clients · 1.0 to unsetMar 28, 2024 to Mar 18, 2025
- Assets in custody · $16.7M to $24.6MMar 28, 2024 to Mar 18, 2025
- Employees · 6 to 7Mar 28, 2024 to Mar 18, 2025
- Financial planning clients · 101-250 to 101-250Mar 28, 2024 to Mar 18, 2025
- Discretionary RAUM · $187M to $245MMar 28, 2024 to Mar 18, 2025
- HNW RAUM · $230M to $279MMar 28, 2024 to Mar 18, 2025
- Individual RAUM · $41.8M to $53.9MMar 28, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $86.8M to $89.8MMar 28, 2024 to Mar 18, 2025
- Pension RAUM · 1458975.0 to unsetMar 28, 2024 to Mar 18, 2025
- RAUM · $274M to $335MMar 28, 2024 to Mar 18, 2025
- Accounts · 760 to 732Jul 11, 2023 to Mar 28, 2024
- Corporate clients · unset to 1.0Jul 11, 2023 to Mar 28, 2024
- HNW clients · 73 to 88Jul 11, 2023 to Mar 28, 2024
- Individual clients · 112 to 110Jul 11, 2023 to Mar 28, 2024
- Pension plan clients · 3 to 1Jul 11, 2023 to Mar 28, 2024
- Assets in custody · $12.4M to $16.7MJul 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $156M to $187MJul 11, 2023 to Mar 28, 2024
- HNW RAUM · $190M to $230MJul 11, 2023 to Mar 28, 2024
- Individual RAUM · $37.0M to $41.8MJul 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $76.0M to $86.8MJul 11, 2023 to Mar 28, 2024
- Pension RAUM · $4.9M to $1.5MJul 11, 2023 to Mar 28, 2024
- RAUM · $232M to $274MJul 11, 2023 to Mar 28, 2024
- Custody of client assets · false to trueMar 22, 2023 to Jul 11, 2023
- Accounts · 743 to 760Sep 9, 2022 to Mar 22, 2023
- Advisory employees · 4 to 3Sep 9, 2022 to Mar 22, 2023
- HNW clients · 78 to 73Sep 9, 2022 to Mar 22, 2023
- Individual clients · 103 to 112Sep 9, 2022 to Mar 22, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- F••••• W••••• A••••••• G••••• L•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- i•••@f•••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-469-8100reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/family-wealth-advisory-groupreportedpublic record, Form ADV, Sep 21, 2026
- Website
- w••.f•••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 513-469-8100reportedpublic record, Form ADV, Jun 30, 2026
- Team page
- f•••.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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026