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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Former SEC-registered adviser

P•••••• W•••••

Former SEC-registered adviserLebanon, OhioCRD 144829SEC 801-70673IAPD
Legal name P•••••• W••••• M••••••••• L••
Latest filing Dec 9, 2014
First filing on the tape Mar 9, 2012 · 8 filings
RAUM
$312M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$312M as of Mar 17, 2014
Mar 9, 2012$128M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 17, 2014
Mar 9, 20120 then
Employees (5.A)1 as of Mar 17, 2014
Mar 19, 20131 then
Private funds: no history
RAUM +70% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Dec 9, 2014; every figure names its basis
RAUM per advisor
$312MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$616,809derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+70%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
506reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• D••••• R••••• · Managing Membercontrol
      since 07/2007 · 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 · 502 to 506
      Dec 3, 2013 to Mar 17, 2014
    • Discretionary RAUM · $225M to $306M
      Dec 3, 2013 to Mar 17, 2014
    • Non-discretionary RAUM · $1.4M to $6.1M
      Dec 3, 2013 to Mar 17, 2014
    • RAUM · $226M to $312M
      Dec 3, 2013 to Mar 17, 2014
    • Accounts · 472 to 502
      Mar 19, 2013 to Oct 4, 2013
    • HQ city · CINCINNATI to LEBANON
      Mar 19, 2013 to Oct 4, 2013
    • Discretionary RAUM · $182M to $225M
      Mar 19, 2013 to Oct 4, 2013
    • Non-discretionary RAUM · $1.3M to $1.4M
      Mar 19, 2013 to Oct 4, 2013
    • RAUM · $183M to $226M
      Mar 19, 2013 to Oct 4, 2013
    • Accounts · 517 to 472
      Dec 10, 2012 to Mar 19, 2013
    • Discretionary RAUM · $166M to $182M
      Dec 10, 2012 to Mar 19, 2013
    • Non-discretionary RAUM · $1.2M to $1.3M
      Dec 10, 2012 to Mar 19, 2013
    • RAUM · $167M to $183M
      Dec 10, 2012 to Mar 19, 2013
    • Accounts · 439 to 517
      Mar 9, 2012 to Dec 10, 2012
    • Advisory employees · unset to 1.0
      Mar 9, 2012 to Dec 10, 2012
    • Employees · unset to 1.0
      Mar 9, 2012 to Dec 10, 2012
    • State-registered IARs · 0 to 1
      Mar 9, 2012 to Dec 10, 2012
    • Discretionary RAUM · $127M to $166M
      Mar 9, 2012 to Dec 10, 2012
    • Non-discretionary RAUM · $864,492 to $1.2M
      Mar 9, 2012 to Dec 10, 2012
    • RAUM · $128M to $167M
      Mar 9, 2012 to Dec 10, 2012
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026