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.
SEC-registered adviser
Wealthquest Corporation
Latest filing Jul 30, 2026
First filing on the tape Nov 22, 2011 · 47 filings
SEC status approved since Aug 17, 2006
RAUM
$2.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$2.2B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
42
16 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$2.2B as of Jul 30, 2026
Mar 19, 2012$447M then
HNW client RAUM$1.8B as of Jul 30, 2026
Mar 28, 2018$580M then
State-registered IARs (5.B.3)14 as of Jul 30, 2026
Mar 27, 20138 then
Employees (5.A)42 as of Jul 30, 2026
Mar 27, 201318 then
Private funds: no history
RAUM +15% over the last fiscal year+14% a year over threeIARs 13 to 14
Practice profile
derived from the filing of Jul 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
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $424,199derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +7.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $1.4B, 1,250 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.8B82%
- Individuals$382M17%
- Charitable organizations$15.0M0.7%
- Individual clients
- 1,012reported
- HNW clients
- 571reported
- Pension plan clients
- n/areported
- Charitable clients
- 10reported
- Accounts
- 5,241reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.4B for 1,250 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| James Charles OligerCertified Financial Planner | Cincinnati, Oh | Dec 13, 2006 | 26 y | 1 |
| Wade Keith DanielCertified Financial Planner | Cincinnati, Oh | Dec 13, 2006 | 26 y | 1 |
| Stephen Paul KingCertified Financial Planner | Cincinnati, Oh | Aug 7, 2007 | 26 y | 1 |
| Mark A BatesCertified Financial Planner | Cincinnati, Oh | Apr 20, 2010 | 23 y | 1 |
| Angela Charlene WilliamsCertified Financial Planner | Oak Brook, Il | Jan 1, 2014 | 19 y | 3 |
| W. David KernCertified Financial Planner | Cincinnati, Oh | May 14, 2014 | 13 y | 0 |
| Michael Hans Loewe | Cincinnati, Oh | Jul 17, 2014 | 27 y | 2 |
| Michael T Moore | Cincinnati, Oh | May 31, 2018 | 39 y | 4 |
| Michael RineyCertified Financial Planner | Cincinnati, Oh | Jul 26, 2019 | 11 y | 0 |
| Samuel Martinez | Cincinnati, Oh | Jun 1, 2021 | 11 y | 1 |
| Daniel Thomas LarsonCertified Financial Planner | Cincinnati, Oh | May 9, 2022 | 14 y | 0 |
| Jenny Ann BurnsCertified Financial Planner | Cincinnati, Oh | May 11, 2022 | 39 y | 0 |
| Megan Kathleen HammannCertified Financial Planner | Cincinnati, Oh | Jan 8, 2024 | 17 y | 5 |
| Robert Dorn Reichwein | Cincinnati, Oh | May 9, 2024 | 11 y | 0 |
| Luke LeongChartered Financial Analyst | Cincinnati, Oh | Mar 5, 2026 | 10 y | 0 |
| Luke Robert NordmanCertified Financial Planner | Cincinnati, Oh | May 11, 2026 | 11 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 headcount2 left over 36 months
Left, latest
- Shawn Michael Scott to Wealth Enhancement Advisory Services, LLCJan 4, 2024 · RIA to RIA
- Adam Michael Day to Ritholtz Wealth ManagementDec 8, 2023 · RIA to RIA
- Charles Ryan Ehrenfried to J. W. Cole Advisors, Inc.Oct 5, 2022 · RIA to RIA
- David Allan Eltringham to Benchmark Investment Advisors LLCJul 3, 2018 · RIA to RIA
- Matthew David Eltringham to Benchmark Investment Advisors LLCJul 3, 2018 · RIA to RIA
- Stephen Albert Greco to Creative PlanningNov 13, 2013 · Other
- Michael Edward Mitchell to Creative PlanningNov 13, 2013 · Other
Joined, latest
- Megan Kathleen Hammann from Cassady Schiller Wealth Management, LLCJan 8, 2024 · RIA to RIA
- Samuel Martinez from Pruco Securities, LLCJun 1, 2021 · Affiliated broker-dealer or bank to independent RIA
- Charles Ryan Ehrenfried from Northwestern Mutual Investment Services,LLCSep 18, 2020 · Other
- Michael T Moore from Cerity Partners Ocio LLCMay 31, 2018 · RIA to RIA
- Adam Michael Day from Northwestern Mutual Investment Services,LLCMar 6, 2018 · Other
- David Allan Eltringham from Fifth Third Securities, Inc.Jan 4, 2017 · Other
- Matthew David Eltringham from Fifth Third Securities, Inc.Jan 3, 2017 · Other
- Michael Hans Loewe from Td Ameritrade Investment Management, LLCJul 17, 2014 · Other
- Angela Charlene Williams from Pnc Wealth ManagementJan 1, 2014 · Other
- Michael Edward Mitchell from J.P. Morgan Securities LLCMay 23, 2013 · Other
- Shawn Michael Scott from Raymond James & Associates, Inc.Dec 3, 2012 · Other
- Stephen Albert Greco from Td Ameritrade Investment Management, LLCApr 5, 2011 · Other
- Mark A Bates from Fifth Third Securities, Inc.Apr 20, 2010 · Other
- Stephen Paul King from Esi Financial AdvisorsAug 7, 2007 · Other
- Wade Keith Daniel from Wealth Planning CorpDec 13, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Benchmark Investment Advisors LLCJul 3, 2018 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Mark Bates · Chief Operating Officercontrolsince 06/2018 · owns 5% to 10%
- Keith Wade Daniel · Ceocontrolsince 03/2012 · owns 25% to 50%
- David W. Kern · Presidentcontrolsince 01/2021 · owns 5% to 10%
- Thomas Daniel Larson · Vice Presidentcontrolsince 01/2022 · owns 5% to 10%
- M. James Lenhoff · Director Of Missioncontrolsince 01/2021 · owns 10% to 25%
- Daniel Patrick Hayes · Chief Compliance Officersince 03/2020 · owns less than 5%
- Paul Stephen King · Vice Presidentsince 03/2012 · owns 10% to 25%
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 | 15 | 2 | 0 | ||
| Naples, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oak Brook, IL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026LENHOFF, JAMES, M. (DIRECTOR OF MISSION) left Schedule A between the filings of 2023-03-30 and 2026-07-30peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 5,194 to 5,241Oct 14, 2025 to Mar 9, 2026
- Advisory employees · 14 to 16Oct 14, 2025 to Mar 9, 2026
- HNW clients · 493 to 571Oct 14, 2025 to Mar 9, 2026
- Individual clients · 1,031 to 1,012Oct 14, 2025 to Mar 9, 2026
- Assets in custody · $673M to $1.4BOct 14, 2025 to Mar 9, 2026
- Employees · 41 to 42Oct 14, 2025 to Mar 9, 2026
- State-registered IARs · 13 to 14Oct 14, 2025 to Mar 9, 2026
- Discretionary RAUM · $1.9B to $2.2BOct 14, 2025 to Mar 9, 2026
- HNW RAUM · $1.5B to $1.8BOct 14, 2025 to Mar 9, 2026
- Individual RAUM · $389M to $382MOct 14, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $1.6M to $1.6MOct 14, 2025 to Mar 9, 2026
- RAUM · $1.9B to $2.2BOct 14, 2025 to Mar 9, 2026
- Accounts · 4,864 to 5,194Mar 27, 2024 to Apr 28, 2025
- Advisory employees · 15 to 14Mar 27, 2024 to Apr 28, 2025
- Charity clients · 2 to 10Mar 27, 2024 to Apr 28, 2025
- HNW clients · 448 to 493Mar 27, 2024 to Apr 28, 2025
- Individual clients · 1,073 to 1,031Mar 27, 2024 to Apr 28, 2025
- Pension plan clients · 29.0 to unsetMar 27, 2024 to Apr 28, 2025
- Assets in custody · $313M to $673MMar 27, 2024 to Apr 28, 2025
- Employees · 38 to 41Mar 27, 2024 to Apr 28, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Apr 28, 2025
- State-registered IARs · 12 to 13Mar 27, 2024 to Apr 28, 2025
- Discretionary RAUM · $1.8B to $1.9BMar 27, 2024 to Apr 28, 2025
- HNW RAUM · $1.3B to $1.5BMar 27, 2024 to Apr 28, 2025
- Individual RAUM · $400M to $389MMar 27, 2024 to Apr 28, 2025
- Non-discretionary RAUM · $2.5M to $1.6MMar 27, 2024 to Apr 28, 2025
- Pension RAUM · 40264932.0 to unsetMar 27, 2024 to Apr 28, 2025
- RAUM · $1.8B to $1.9BMar 27, 2024 to Apr 28, 2025
- Accounts · 4,562 to 4,864Jan 4, 2024 to Mar 27, 2024
- Charity clients · 1 to 2Jan 4, 2024 to Mar 27, 2024
- Corporate clients · 1.0 to unsetJan 4, 2024 to Mar 27, 2024
- HNW clients · 358 to 448Jan 4, 2024 to Mar 27, 2024
- Individual clients · 1,089 to 1,073Jan 4, 2024 to Mar 27, 2024
- Pension plan clients · 42 to 29Jan 4, 2024 to Mar 27, 2024
- Assets in custody · $208M to $313MJan 4, 2024 to Mar 27, 2024
- Discretionary RAUM · $1.5B to $1.8BJan 4, 2024 to Mar 27, 2024
- HNW RAUM · $1.1B to $1.3BJan 4, 2024 to Mar 27, 2024
- Individual RAUM · $393M to $400MJan 4, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $2.9M to $2.5MJan 4, 2024 to Mar 27, 2024
- Pension RAUM · $40.9M to $40.3MJan 4, 2024 to Mar 27, 2024
Signals
6 dated events
- Shawn Michael Scott left Wealthquest Corporation for Wealth Enhancement Advisory Services, Llc (registered 2024-01-02)Jan 4, 2024 · Advisor changed firm · fact
- Adam Michael Day left Wealthquest Corporation for Ritholtz Wealth Management (registered 2023-12-11)Dec 8, 2023 · Advisor changed firm · fact
- Charles Ryan Ehrenfried left Wealthquest Corporation for J. W. Cole Advisors, Inc. (registered 2022-06-13)Oct 5, 2022 · Advisor changed firm · fact
- Wealthquest Corporation reported RAUM $1.3B, up 36% from $993.2M (2020-11-18 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- David W. Kern (President) appeared on Schedule A of Wealthquest CorporationMar 31, 2021 · Control person joined · fact
- Daniel Patrick Hayes (Chief Compliance Officer) appeared on Schedule A of Wealthquest CorporationMar 30, 2020 · Control person joined · 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 phone
- 513-530-9700reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 603-581-3580reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 630-581-3580reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/wealthquestreportedpublic record, Form ADV, Sep 17, 2026
- Website
- WQCORP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-530-9700reportedpublic record, Form ADV, Jul 30, 2026
- Team page
- wqcorp.com/who-we-are/our-peoplereportedpublished 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026