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

Lenox Wealth Management, Inc.

Former SEC-registered adviserCincinnati, OhioCRD 132818SEC 801-63546IAPD
Latest filing Jun 10, 2020
First filing on the tape Feb 23, 2012 · 27 filings
RAUM
$644M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$636M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$25.1M gross assets
History
27 filings and snapshots on the tape
RAUM$644M as of Mar 26, 2020
Feb 23, 2012$580M then
HNW client RAUM$592M as of Mar 26, 2020
Mar 30, 2018$476M then
State-registered IARs (5.B.3)5 as of Mar 26, 2020
Feb 23, 20120 then
Employees (5.A)13 as of Mar 26, 2020
Feb 28, 201314 then
Private funds3 as of Mar 26, 2020
Feb 23, 20164 then
RAUM +19% over the last fiscal year+6.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 10, 2020; every figure names its basis
RAUM per advisor
$129MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$312,445derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%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, selection of other advisers, otherreportedItem 5.G
Wrap fee program
$212MreportedItem 5.I
Custody
$206M, 270 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)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$592M92%
  • Individuals$44.3M6.9%
  • Charitable organizations$7.5M1.2%
Individual clients
128reported
HNW clients
146reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
2,060reported
Financial planning clients
1-10reported
Wrap fee programs
$212M sponsored, $0 managedreported
Custody of client assets
$206M for 270 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
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Lenox Alliance, LLCno longer reportedPrivate Equity Fund$2.5M32Jan 4, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • Anne Elizabeth Buhr · Vice Presidentcontrol
      since 06/2019 · owns less than 5%
    • Christopher John Lame · Director/Chairman/Ceocontrol
      since 02/2005 · owns 50% to 75%
    • M Heather Luecke · Vice Presidentcontrol
      since 06/2019 · owns less than 5%
    • Edward Matthew Lynch · Directorcontrol
      since 05/2013 · owns less than 5%
    • Lame Anne Megerle · Senior Vice Presidentcontrol
      since 06/2019 · owns less than 5%
    • F Ben Wells · Directorcontrol
      since 05/2012 · owns less than 5%
    • Bley Kristin Wilson · Chief Compliance Officer
      since 03/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 2,554 to 2,060
      Oct 1, 2019 to Mar 26, 2020
    • Advisory employees · 9 to 10
      Oct 1, 2019 to Mar 26, 2020
    • HNW clients · 143 to 146
      Oct 1, 2019 to Mar 26, 2020
    • Individual clients · 94 to 128
      Oct 1, 2019 to Mar 26, 2020
    • Assets in custody · $202M to $206M
      Oct 1, 2019 to Mar 26, 2020
    • Discretionary RAUM · $538M to $640M
      Oct 1, 2019 to Mar 26, 2020
    • HNW RAUM · $487M to $592M
      Oct 1, 2019 to Mar 26, 2020
    • Individual RAUM · $47.9M to $44.3M
      Oct 1, 2019 to Mar 26, 2020
    • Non-discretionary RAUM · $3.4M to $3.3M
      Oct 1, 2019 to Mar 26, 2020
    • RAUM · $541M to $644M
      Oct 1, 2019 to Mar 26, 2020
    • Wrap assets (sponsor) · $190M to $212M
      Oct 1, 2019 to Mar 26, 2020
    • Accounts · 2,754 to 2,554
      Mar 30, 2018 to Mar 28, 2019
    • HNW clients · 142 to 143
      Mar 30, 2018 to Mar 28, 2019
    • Individual clients · 100 to 94
      Mar 30, 2018 to Mar 28, 2019
    • Assets in custody · $169M to $202M
      Mar 30, 2018 to Mar 28, 2019
    • Employees · 14 to 13
      Mar 30, 2018 to Mar 28, 2019
    • State-registered IARs · 4 to 5
      Mar 30, 2018 to Mar 28, 2019
    • Private funds · 4 to 3
      Mar 30, 2018 to Mar 28, 2019
    • Discretionary RAUM · $551M to $538M
      Mar 30, 2018 to Mar 28, 2019
    • HNW RAUM · $476M to $487M
      Mar 30, 2018 to Mar 28, 2019
    • Individual RAUM · $68.2M to $47.9M
      Mar 30, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $1.4M to $3.4M
      Mar 30, 2018 to Mar 28, 2019
    • RAUM · $553M to $541M
      Mar 30, 2018 to Mar 28, 2019
    • Wrap assets (sponsor) · $205M to $190M
      Mar 30, 2018 to Mar 28, 2019
    • Accounts · 1,913 to 2,754
      Mar 29, 2017 to Mar 30, 2018
    • Advisory employees · 8 to 9
      Mar 29, 2017 to Mar 30, 2018
    • Corporate clients · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • HNW clients · unset to 142.0
      Mar 29, 2017 to Mar 30, 2018
    • Individual clients · unset to 100.0
      Mar 29, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • Assets in custody · $2.7M to $169M
      Mar 29, 2017 to Mar 30, 2018
    • Employees · 13 to 14
      Mar 29, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • Discretionary RAUM · $538M to $551M
      Mar 29, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 476410214.0
      Mar 29, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 68226600.0
      Mar 29, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $1.4M to $1.4M
      Mar 29, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    • Pooled vehicle RAUM · unset to 0.0
      Mar 29, 2017 to Mar 30, 2018
    Signals
    1 dated events
    • Edward Steven Reder (President) no longer on Schedule A of Lenox Wealth Management, Inc. (listed 2018-03-30, absent 2019-03-28)
      Mar 28, 2019 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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