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•••••••• G••••• L••
Latest filing Aug 24, 2026
First filing on the tape Nov 9, 2011 · 37 filings
SEC status approved since Jun 4, 2010
RAUM
$404M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
7
6 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$404M as of Aug 24, 2026
Mar 27, 2012$90.0M then
HNW client RAUM$224M as of Aug 24, 2026
Mar 15, 2018$95.1M then
State-registered IARs (5.B.3)6 as of Aug 24, 2026
Mar 27, 20120 then
Employees (5.A)7 as of Aug 24, 2026
Mar 20, 20134 then
Private funds: no history
RAUM +22% over the last fiscal year+15% a year over threeIARs 4 to 6
Practice profile
derived from the filing of Aug 24, 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
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $244,332derivedRAUM 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
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$224M56%
- Individuals$180M44%
- Individual clients
- 711reported
- HNW clients
- 114reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,655reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• J•••••• | Lexington, Ky | Jun 4, 2010 | 20 y | 2 |
| T••••• P••••••• D••••• | Lexington, Ky | Aug 3, 2010 | 42 y | 4 |
| D••••• M•••• R•••••••• | Lexington, Ky | Oct 2, 2023 | 15 y | 0 |
| T••••• C•••• D••••• | Phoenix, Az | Feb 1, 2024 | 11 y | 2 |
| M•••••• M••••• D••••••• | Lexington, Ky | Feb 9, 2024 | 12 y | 0 |
| J•••• P••••••• D••••• | Lexington, Ky | Feb 28, 2025 | 12 y | 0 |
| D•••• H••••• K••• | Lexington, Ky | Oct 24, 2025 | 12 y | 0 |
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•• D• W•••••• to L•••• F••• A••••••• S•••••••Aug 15, 2023 · RIA to affiliated broker-dealer or bank
- P•••••• E•••••• S••••• to R•••••• J•••• • A••••••••• I•••Mar 11, 2022 · RIA to affiliated broker-dealer or bank
- T••••• C•••• D••••• to S••••••• F•••••••• G••••Mar 11, 2022 · RIA to RIA
- C•••• T••••• W•••••• to O• I••••••••• M••••••••• C•Oct 15, 2015 · Other
- L•••• E••••• F••••• to F••••• I••••••••• S•••••••Dec 13, 2013 · Other
- R•••••• F• B•••••••• to M••••••• W••••• M••••••••• L••Aug 1, 2012 · Other
- T••••• P••••••• D••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 10, 2005 · Other
Joined, latest
- T••••• C•••• D••••• from S••••••• F•••••••• G••••Feb 1, 2024 · RIA to RIA
- E•• D• W•••••• from L•• F•••••••• L••Oct 18, 2022 · RIA to RIA
- T••••• P••••••• D••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Aug 3, 2010 · Other
- L•••• E••••• F••••• from F••••• I••••••••• S••••••• L••Jun 25, 2010 · Other
- M•••••• A•••• J•••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••Jun 4, 2010 · Other
- T••••• P••••••• D••••• from U•• F•••••••• S••••••• I•••Jun 3, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• W••••••• M••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 04/2015 · owns less than 5%
- D•••••• T•••••• P••••••• · Manager / Membercontrolsince 08/2003 · 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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Aug 24, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-04-17, yes on the filing of 2026-08-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2Apr 17, 2026 to Aug 24, 2026
- Accounts · 1,615 to 1,655Mar 5, 2025 to Mar 26, 2026
- Advisory employees · 5 to 6Mar 5, 2025 to Mar 26, 2026
- HNW clients · 90 to 114Mar 5, 2025 to Mar 26, 2026
- Individual clients · 666 to 711Mar 5, 2025 to Mar 26, 2026
- Employees · 6 to 7Mar 5, 2025 to Mar 26, 2026
- State-registered IARs · 4 to 6Mar 5, 2025 to Mar 26, 2026
- Discretionary RAUM · $330M to $404MMar 5, 2025 to Mar 26, 2026
- HNW RAUM · $167M to $224MMar 5, 2025 to Mar 26, 2026
- Individual RAUM · $163M to $180MMar 5, 2025 to Mar 26, 2026
- RAUM · $330M to $404MMar 5, 2025 to Mar 26, 2026
- Accounts · 1,563 to 1,615Mar 26, 2024 to Mar 5, 2025
- HNW clients · 64 to 90Mar 26, 2024 to Mar 5, 2025
- Individual clients · 688 to 666Mar 26, 2024 to Mar 5, 2025
- Employees · 5 to 6Mar 26, 2024 to Mar 5, 2025
- Financial planning clients · 0 to 0Mar 26, 2024 to Mar 5, 2025
- State-registered IARs · 5 to 4Mar 26, 2024 to Mar 5, 2025
- Discretionary RAUM · $283M to $330MMar 26, 2024 to Mar 5, 2025
- HNW RAUM · $130M to $167MMar 26, 2024 to Mar 5, 2025
- Individual RAUM · $153M to $163MMar 26, 2024 to Mar 5, 2025
- RAUM · $283M to $330MMar 26, 2024 to Mar 5, 2025
- Accounts · 697 to 1,563Feb 1, 2024 to Mar 26, 2024
- Advisory employees · 3 to 5Feb 1, 2024 to Mar 26, 2024
- HNW clients · 102 to 64Feb 1, 2024 to Mar 26, 2024
- Individual clients · 595 to 688Feb 1, 2024 to Mar 26, 2024
- State-registered IARs · 3 to 5Feb 1, 2024 to Mar 26, 2024
- Discretionary RAUM · $269M to $283MFeb 1, 2024 to Mar 26, 2024
- HNW RAUM · $148M to $130MFeb 1, 2024 to Mar 26, 2024
- Individual RAUM · $121M to $153MFeb 1, 2024 to Mar 26, 2024
- RAUM · $269M to $283MFeb 1, 2024 to Mar 26, 2024
- Accounts · 684 to 697Oct 19, 2022 to Apr 13, 2023
- Advisory employees · 4 to 3Oct 19, 2022 to Apr 13, 2023
- HNW clients · 92 to 102Oct 19, 2022 to Apr 13, 2023
- Individual clients · 592 to 595Oct 19, 2022 to Apr 13, 2023
- Employees · 6 to 5Oct 19, 2022 to Apr 13, 2023
- State-registered IARs · 4 to 3Oct 19, 2022 to Apr 13, 2023
- Discretionary RAUM · $291M to $269MOct 19, 2022 to Apr 13, 2023
- HNW RAUM · $137M to $148MOct 19, 2022 to Apr 13, 2023
- Individual RAUM · $154M to $121MOct 19, 2022 to Apr 13, 2023
- RAUM · $291M to $269MOct 19, 2022 to Apr 13, 2023
Signals
3 dated events
- E•• D• W•••••• left D••••• F•••••••• G••••• L•• for L•••• F••• A••••••• S••••••• (registered 2023-08-24)Aug 15, 2023 · Advisor changed firm · fact
- P•••••• E•••••• S••••• left D••••• F•••••••• G••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2022-02-15)Mar 11, 2022 · Advisor changed firm · fact
- T••••• C•••• D••••• left D••••• F•••••••• G••••• L•• for S••••••• F•••••••• G•••• (registered 2022-07-12)Mar 11, 2022 · 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 email
- info@dupreefinancial.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-233-0400reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H••••://WWW.D•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 859-233-0400reportedpublic record, Form ADV, Aug 24, 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026