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R••••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Dayton, Ohio

Former SEC-registered adviser, based in Dayton, Ohio, reporting $140M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2018-03-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $140M
RAUM change, last fiscal year: +6.2%
Private clients: 50% of RAUM, $69.3M

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-03-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 15 Mar 2018, RAUM $132M to $140M (+6.2%) on the Form ADV filed 15 Mar 2018, while advisors on the filing rose 2 to 2.

Every filed figure, and the identifiersCRD 143745 · SEC 801-67845 · 14 filingsShow

CRD 143745SEC 801-67845First filing on the tape Mar 5, 2012, latest Mar 15, 2018IAPD

RAUM

$140M

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

50%

$69.3M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$140M as of Mar 14, 2018

Mar 5, 2012$227M then

HNW client RAUM: $59.4M

State-registered IARs (5.B.3)2 as of Mar 14, 2018

Feb 27, 20132 then

Employees (5.A)3 as of Mar 14, 2018

Feb 27, 20134 then

Private funds: no history

RAUM +6.2% over the last fiscal year+1.6% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 15, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $69.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 81derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $751,914derivedHNW RAUM over HNW clients
Average account: $743,346derivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +6.2%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program: $5.5MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$59.4M43%
Corporations and businesses$33.6M24%
Charitable organizations$19.7M14%
Pension and profit-sharing plans$17.2M12%
Individuals$9.9M7.1%

Individual clients: 82reported
HNW clients: 79reported
Pension plan clients: n/areported
Charitable clients: 8reported
Accounts: 188reported
Financial planning clients: n/areported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

R••••• W• B•••• • C•• I•••••••••1 advisor

Left, latest

L•••• R••••• Z•••••• to R••••• W• B•••• • C•• I•••••••••
Jan 27, 2012 · Other

Joined, latest

L•••• R••••• Z•••••• from T••••••••• I••••••••• M••••••••• L••
Oct 21, 2008 · Other

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

R•••••• J•••• C••••• · Managing Member, Chief Compliance Officercontrol
since 02/2007 · owns 75% or more

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 · 174 to 188
Mar 24, 2017 to Mar 14, 2018
Charity clients · unset to 8.0
Mar 24, 2017 to Mar 14, 2018
Corporate clients · unset to 8.0
Mar 24, 2017 to Mar 14, 2018
HNW clients · unset to 79.0
Mar 24, 2017 to Mar 14, 2018
Individual clients · unset to 82.0
Mar 24, 2017 to Mar 14, 2018

Full history · 40 changes

Other offices · unset to 0.0
Mar 24, 2017 to Mar 14, 2018
Discretionary RAUM · $129M to $136M
Mar 24, 2017 to Mar 14, 2018
HNW RAUM · unset to 59401230.0
Mar 24, 2017 to Mar 14, 2018
Individual RAUM · unset to 9853383.0
Mar 24, 2017 to Mar 14, 2018
Non-discretionary RAUM · $2.3M to $3.4M
Mar 24, 2017 to Mar 14, 2018
Pension RAUM · unset to 17168729.0
Mar 24, 2017 to Mar 14, 2018
RAUM · $132M to $140M
Mar 24, 2017 to Mar 14, 2018
Wrap assets (manager) · unset to 0.0
Mar 24, 2017 to Mar 14, 2018
Wrap assets (sponsor) · unset to 0.0
Mar 24, 2017 to Mar 14, 2018
Accounts · 198 to 174
Oct 5, 2016 to Mar 24, 2017
State-registered IARs · 1 to 2
Oct 5, 2016 to Mar 24, 2017
Discretionary RAUM · $132M to $129M
Oct 5, 2016 to Mar 24, 2017
Non-discretionary RAUM · $2.4M to $2.3M
Oct 5, 2016 to Mar 24, 2017
RAUM · $134M to $132M
Oct 5, 2016 to Mar 24, 2017
Accounts · 197 to 198
Feb 5, 2015 to Mar 29, 2016
Discretionary RAUM · $133M to $132M
Feb 5, 2015 to Mar 29, 2016
Non-discretionary RAUM · $0 to $2.4M
Feb 5, 2015 to Mar 29, 2016
RAUM · $133M to $134M
Feb 5, 2015 to Mar 29, 2016
Accounts · 198 to 197
Nov 24, 2014 to Feb 5, 2015
Discretionary RAUM · $125M to $133M
Nov 24, 2014 to Feb 5, 2015
Non-discretionary RAUM · $2.1M to $0
Nov 24, 2014 to Feb 5, 2015
RAUM · $127M to $133M
Nov 24, 2014 to Feb 5, 2015
Accounts · 149 to 198
Nov 21, 2013 to Mar 24, 2014
Employees · 4 to 3
Nov 21, 2013 to Mar 24, 2014
State-registered IARs · 2 to 1
Nov 21, 2013 to Mar 24, 2014
Discretionary RAUM · $101M to $125M
Nov 21, 2013 to Mar 24, 2014
Non-discretionary RAUM · $0 to $2.1M
Nov 21, 2013 to Mar 24, 2014
RAUM · $101M to $127M
Nov 21, 2013 to Mar 24, 2014
Accounts · 307 to 149
Mar 5, 2012 to Feb 27, 2013
Advisory employees · unset to 1.0
Mar 5, 2012 to Feb 27, 2013
Advisory activities · 2 to 3
Mar 5, 2012 to Feb 27, 2013
Employees · unset to 4.0
Mar 5, 2012 to Feb 27, 2013
State-registered IARs · unset to 2.0
Mar 5, 2012 to Feb 27, 2013
Discretionary RAUM · $227M to $101M
Mar 5, 2012 to Feb 27, 2013
RAUM · $227M to $101M
Mar 5, 2012 to Feb 27, 2013

Signals

No event on the tape.

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026