DFX Intelligence

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R••••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $205M of regulatory assets across 1 registered advisors.

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

As of 2026-04-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $205M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +22%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-04-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+22.1%
RAUM, one year
RAUM $168M to $205M (+22.1%) on the Form ADV filed 8 Apr 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 143983 · SEC 801-130111 · 8 filingsShow

CRD 143983SEC 801-130111First filing on the tape Mar 28, 2012, latest Apr 8, 2026SEC status approved since Apr 30, 2024IAPD

RAUM

$205M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$205M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$205M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +22% over the last fiscal year · the tape starts Mar 28, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$205M as of Apr 8, 2026

Mar 28, 2012$16.4M then

HNW client RAUM$200M as of Apr 8, 2026

Mar 24, 2025$166M then

State-registered IARs (5.B.3)1 as of Apr 8, 2026

Mar 28, 20120 then

Employees (5.A)2 as of Apr 8, 2026

Mar 24, 20252 then

Private funds: no history

RAUM +22% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Apr 8, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $205MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 67derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.1MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +22%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +22%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, selection of other advisers, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

97% high-net-worth individuals, 2.6% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$200M97%
Individuals$5.3M2.6%

Individual clients: 28reported
HNW clients: 39reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 188reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
E•• C•••••• G••••• B•••••Chartered Financial Analyst	Cinti, Oh	May 3, 2012	35 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

G••••• B•••••• E••• C•••••• · President And Chief Compliance Officercontrol
since 04/2007 · 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 · 175 to 188
Mar 24, 2025 to Mar 31, 2026
HNW clients · 36 to 39
Mar 24, 2025 to Mar 31, 2026
Individual clients · 19 to 28
Mar 24, 2025 to Mar 31, 2026
Assets in custody · $168M to $205M
Mar 24, 2025 to Mar 31, 2026
Discretionary RAUM · $168M to $205M
Mar 24, 2025 to Mar 31, 2026

Full history · 33 changes

HNW RAUM · $166M to $200M
Mar 24, 2025 to Mar 31, 2026
Individual RAUM · $2.1M to $5.3M
Mar 24, 2025 to Mar 31, 2026
RAUM · $168M to $205M
Mar 24, 2025 to Mar 31, 2026
Accounts · 164 to 175
Apr 29, 2024 to Mar 24, 2025
HNW clients · 28 to 36
Apr 29, 2024 to Mar 24, 2025
Individual clients · 21 to 19
Apr 29, 2024 to Mar 24, 2025
Assets in custody · $126M to $168M
Apr 29, 2024 to Mar 24, 2025
Financial planning clients · 26-50 to 51-100
Apr 29, 2024 to Mar 24, 2025
HQ city · unset to
Apr 29, 2024 to Mar 24, 2025
HQ state · unset to
Apr 29, 2024 to Mar 24, 2025
Discretionary RAUM · $126M to $168M
Apr 29, 2024 to Mar 24, 2025
HNW RAUM · $120M to $166M
Apr 29, 2024 to Mar 24, 2025
Individual RAUM · $6.7M to $2.1M
Apr 29, 2024 to Mar 24, 2025
RAUM · $126M to $168M
Apr 29, 2024 to Mar 24, 2025
Accounts · 20 to 164
Mar 28, 2012 to Mar 29, 2024
Advisory employees · unset to 1.0
Mar 28, 2012 to Mar 29, 2024
Advisory activities · 5 to 6
Mar 28, 2012 to Mar 29, 2024
HNW clients · unset to 28.0
Mar 28, 2012 to Mar 29, 2024
Individual clients · unset to 21.0
Mar 28, 2012 to Mar 29, 2024
Assets in custody · unset to 126278339.0
Mar 28, 2012 to Mar 29, 2024
Employees · unset to 2.0
Mar 28, 2012 to Mar 29, 2024
Financial planning clients · 11-25 to 26-50
Mar 28, 2012 to Mar 29, 2024
State-registered IARs · 0 to 1
Mar 28, 2012 to Mar 29, 2024
Other offices · unset to 0.0
Mar 28, 2012 to Mar 29, 2024
Discretionary RAUM · $16.4M to $126M
Mar 28, 2012 to Mar 29, 2024
HNW RAUM · unset to 119562017.0
Mar 28, 2012 to Mar 29, 2024
Individual RAUM · unset to 6716322.0
Mar 28, 2012 to Mar 29, 2024
RAUM · $16.4M to $126M
Mar 28, 2012 to Mar 29, 2024

Signals

1 dated events

••• Locked
Mar 29, 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 8, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $205Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026