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
T••••••• F•••••••• P•••••••
Legal name T••••••• F•••••••• P•••••••• L••
Latest filing May 12, 2026
First filing on the tape Jun 14, 2024 · 6 filings
SEC status approved since Jul 17, 2024
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$148M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.4M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$148M as of May 12, 2026
Feb 20, 2025$130M then
HNW client RAUM$101M as of May 12, 2026
Feb 20, 2025$91.1M then
State-registered IARs (5.B.3)3 as of May 12, 2026
Feb 20, 20253 then
Employees (5.A)6 as of May 12, 2026
Feb 20, 20255 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of May 12, 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
- $49.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $256,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%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, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Custody
- $148M, 161 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M68%
- Individuals$46.8M32%
- Charitable organizations$53,5750.0%
- Individual clients
- 122reported
- HNW clients
- 38reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 579reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $148M for 161 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| J••••••• M•••••• C•••••Certified Financial Planner | Mt. Sterling, Ky | Apr 19, 2023 | 20 y | 0 |
| M••••• J• T•••••••Certified Financial Planner | Mt. Sterling, Ky | Jan 9, 2025 | 19 y | 0 |
| H••••••• N••••••• B•••••Certified Financial Planner | Mt. Sterling, Ky | Jan 10, 2025 | 13 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• M•••••• J• · President/Ccocontrolsince 10/2006 · owns 75% or more
- B•••••• H•••••••• N••••••• · Partner/Financial Advisorsince 01/2024 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Mt Sterling, Ky | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lexington, KY2 employees
- Louisville, KY2 employees
What changed
consecutive filings, newest first
- Accounts · 516 to 579Feb 20, 2025 to Mar 13, 2026
- Advisory activities · 6 to 7Feb 20, 2025 to Mar 13, 2026
- HNW clients · 37 to 38Feb 20, 2025 to Mar 13, 2026
- Individual clients · 117 to 122Feb 20, 2025 to Mar 13, 2026
- Assets in custody · $130M to $148MFeb 20, 2025 to Mar 13, 2026
- Employees · 5 to 6Feb 20, 2025 to Mar 13, 2026
- Discretionary RAUM · $130M to $148MFeb 20, 2025 to Mar 13, 2026
- HNW RAUM · $91.1M to $101MFeb 20, 2025 to Mar 13, 2026
- Individual RAUM · $39.3M to $46.8MFeb 20, 2025 to Mar 13, 2026
- RAUM · $130M to $148MFeb 20, 2025 to Mar 13, 2026
- Accounts · 468 to 516Aug 21, 2024 to Feb 20, 2025
- HNW clients · 32 to 37Aug 21, 2024 to Feb 20, 2025
- Assets in custody · $116M to $130MAug 21, 2024 to Feb 20, 2025
- Financial planning clients · 101-250 to 101-250Aug 21, 2024 to Feb 20, 2025
- Discretionary RAUM · $116M to $130MAug 21, 2024 to Feb 20, 2025
- HNW RAUM · $76.9M to $91.1MAug 21, 2024 to Feb 20, 2025
- Individual RAUM · $39.1M to $39.3MAug 21, 2024 to Feb 20, 2025
- RAUM · $116M to $130MAug 21, 2024 to Feb 20, 2025
Signals
1 dated events
- T••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Jun 14, 2024 · First SEC registration · 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
- 502-630-0707reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 859-274-4122reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 859-299-2020reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/townsend-financial-planningreportedpublic record, Form ADV, Sep 19, 2026
- Website
- T•••••••P•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 859-498-2020reportedpublic record, Form ADV, May 12, 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
- $49.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026