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.

Former SEC-registered adviser

First Ohio Planning, LLC

Former SEC-registered adviserColumbus, OhioCRD 144498SEC 801-77963IAPD
Latest filing Jun 23, 2020
First filing on the tape Apr 10, 2013 · 21 filings
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$210M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$256M as of Apr 3, 2020
Mar 19, 2014$152M then
HNW client RAUM$168M as of Apr 3, 2020
Mar 27, 2018$121M then
State-registered IARs (5.B.3)3 as of Apr 3, 2020
Mar 19, 20143 then
Employees (5.A)6 as of Apr 3, 2020
Mar 19, 20145 then
Private funds: no history
RAUM +16% over the last fiscal year-4.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jun 23, 2020; every figure names its basis
RAUM per advisor
$85.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
106derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$391,888derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+16%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+16%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
Custody
$210M, 332 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$168M66%
  • Pension and profit-sharing plans$44.1M17%
  • Individuals$42.3M17%
  • Corporations and businesses$1.6M0.6%
Individual clients
239reported
HNW clients
80reported
Pension plan clients
28reported
Charitable clients
n/areported
Accounts
653reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$210M for 332 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Schell James Ryan · Sole Member And Chief Compliance Officercontrol
    since 01/2012 · owns less than 5%
Entity owners
  • Mercer Global Advisors Inc. · Parent Company
    direct · owns 75% or more
Related persons
Schedule D 7.A
  • James S. Ryan
    real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 706 to 653
    Feb 20, 2020 to Apr 3, 2020
  • HNW clients · 56 to 80
    Feb 20, 2020 to Apr 3, 2020
  • Individual clients · 220 to 239
    Feb 20, 2020 to Apr 3, 2020
  • Pension plan clients · 30 to 28
    Feb 20, 2020 to Apr 3, 2020
  • Assets in custody · $81.4M to $210M
    Feb 20, 2020 to Apr 3, 2020
  • Financial planning clients · 26-50 to 11-25
    Feb 20, 2020 to Apr 3, 2020
  • Discretionary RAUM · $221M to $256M
    Feb 20, 2020 to Apr 3, 2020
  • HNW RAUM · $122M to $168M
    Feb 20, 2020 to Apr 3, 2020
  • Individual RAUM · $61.5M to $42.3M
    Feb 20, 2020 to Apr 3, 2020
  • Pension RAUM · $37.2M to $44.1M
    Feb 20, 2020 to Apr 3, 2020
  • RAUM · $221M to $256M
    Feb 20, 2020 to Apr 3, 2020
  • Accounts · 788 to 706
    Sep 20, 2018 to Mar 26, 2019
  • Corporate clients · 4 to 3
    Sep 20, 2018 to Mar 26, 2019
  • HNW clients · 52 to 56
    Sep 20, 2018 to Mar 26, 2019
  • Individual clients · 288 to 220
    Sep 20, 2018 to Mar 26, 2019
  • Assets in custody · $62.6M to $81.4M
    Sep 20, 2018 to Mar 26, 2019
  • Discretionary RAUM · $236M to $221M
    Sep 20, 2018 to Mar 26, 2019
  • HNW RAUM · $121M to $122M
    Sep 20, 2018 to Mar 26, 2019
  • Individual RAUM · $74.3M to $61.5M
    Sep 20, 2018 to Mar 26, 2019
  • Pension RAUM · $39.1M to $37.2M
    Sep 20, 2018 to Mar 26, 2019
  • RAUM · $236M to $221M
    Sep 20, 2018 to Mar 26, 2019
  • Advisory employees · 4 to 3
    Aug 8, 2018 to Sep 20, 2018
  • Employees · 7 to 6
    Aug 8, 2018 to Sep 20, 2018
  • State-registered IARs · 4 to 3
    Aug 8, 2018 to Sep 20, 2018
  • Assets in custody · $35.4M to $62.6M
    Jul 31, 2018 to Aug 8, 2018
  • Accounts · 803 to 788
    Jun 5, 2018 to Jul 31, 2018
  • Pension plan clients · 45 to 30
    Jun 5, 2018 to Jul 31, 2018
  • Assets in custody · unset to 35414919.0
    Jun 5, 2018 to Jul 31, 2018
  • Custody of client assets · false to true
    Jun 5, 2018 to Jul 31, 2018
  • Discretionary RAUM · $237M to $236M
    Jun 5, 2018 to Jul 31, 2018
  • Non-discretionary RAUM · $104M to $0
    Jun 5, 2018 to Jul 31, 2018
  • Pension RAUM · $143M to $39.1M
    Jun 5, 2018 to Jul 31, 2018
  • RAUM · $341M to $236M
    Jun 5, 2018 to Jul 31, 2018
  • Accounts · 759 to 803
    Mar 29, 2017 to Mar 27, 2018
  • Advisory employees · 6 to 4
    Mar 29, 2017 to Mar 27, 2018
  • Advisory activities · 5 to 4
    Mar 29, 2017 to Mar 27, 2018
  • Corporate clients · unset to 4.0
    Mar 29, 2017 to Mar 27, 2018
  • HNW clients · unset to 52.0
    Mar 29, 2017 to Mar 27, 2018
  • Individual clients · unset to 288.0
    Mar 29, 2017 to Mar 27, 2018
  • Pension plan clients · unset to 45.0
    Mar 29, 2017 to Mar 27, 2018
Signals
2 dated events
  • First Ohio Planning, Llc reported RAUM $236.5M, down 31% from $340.8M (2018-06-05 to 2018-07-31)
    Jul 31, 2018 · RAUM change · derived
  • First Ohio Planning, Llc filed its initial SEC registration (Form ADV)
    Apr 10, 2013 · 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.
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026