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
P••••••••• W••••• A•••••••• L••
Latest filing Jun 22, 2026
First filing on the tape May 4, 2026 · 2 filings
SEC status approved since May 26, 2026
RAUM
$252M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
91%
$228M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$252M as of Jun 22, 2026
May 4, 2026$252M then
HNW client RAUM$200M as of Jun 22, 2026
May 4, 2026$200M then
State-registered IARs (5.B.3)2 as of Jun 22, 2026
May 4, 20262 then
Employees (5.A)5 as of Jun 22, 2026
May 4, 20265 then
Private funds: no history
Practice profile
derived from the filing of Jun 22, 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
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $321,979derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$200M79%
- Individuals$28.6M11%
- Corporations and businesses$21.0M8.3%
- Charitable organizations$2.9M1.1%
- Individual clients
- 53reported
- HNW clients
- 97reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 783reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• S•••••••• R••••••Certified Financial Planner | Covington, Ky | Jan 6, 2006 | 22 y | 2 |
| L••• T••••• M••••Certified Financial Planner | Covington, Ky | Dec 11, 2019 | 11 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
- J••••• S•••••••• R•••••• from C••••••••• F•••••••• N••••••Jan 6, 2006 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• J•••••• S•••••••• · Coo, Financial Advisor, Member, Cco Membercontrolsince 01/2016 · 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 |
|---|---|---|---|---|---|
| Covington, Ky · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- Kathy J Hamm no longer registered at P••••••••• W••••• A•••••••• L••; no later IA registration on IAPDApr 9, 2025 · Advisor departure · 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
- b••••••••@p•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- p•••••@p•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 859-957-2737reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/principled-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.netreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 859-957-2737reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- p•••••••••.netreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- p•••••••••.netreportedpublished by the firm, firm site, Sep 17, 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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026