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
S••••• F•••••••• A•••••••• I•••
Latest filing Jun 9, 2026
First filing on the tape Apr 21, 2015 · 16 filings
SEC status approved since May 6, 2015
RAUM
$233M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$231M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$46.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$233M as of Jun 9, 2026
Jun 2, 2016$120M then
HNW client RAUM$207M as of Jun 9, 2026
May 31, 2018$117M then
State-registered IARs (5.B.3)4 as of Jun 9, 2026
Jun 2, 20164 then
Employees (5.A)4 as of Jun 9, 2026
Jun 2, 20164 then
Private funds: no history
RAUM +34% over the last fiscal year+12% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Jun 9, 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
- $46.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $558,336derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assets, fixed fees, commissionsreportedItem 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
- High-net-worth individuals$207M90%
- Individuals$24.1M10%
- Individual clients
- 91reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 417reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• B••••••• M•••••Certified Financial Planner | Lebanon, Oh | Sep 13, 2007 | 22 y | 1 |
| E•••• M•••• W•••Certified Financial Planner | Middletown, Oh | Sep 13, 2007 | 22 y | 1 |
| R•••• L••••• M•••••Certified Financial Planner | Lebanon, Oh | Sep 13, 2007 | 44 y | 1 |
| D••••• P••• V••••• | Middletown, Oh | Dec 20, 2007 | 49 y | 1 |
| M•••••• A•••• W•••Certified Financial Planner, Chartered Financial Analyst | Middletown, Oh | Aug 25, 2015 | 20 y | 3 |
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
- M•••••• A•••• W••• from S•••••••• I••••••••• A•••••••• L••Aug 25, 2015 · Other
- D••••• P••• V••••• from I•••• I•••Dec 20, 2007 · Other
- P•••• B••••••• M••••• from I•••• I•••Sep 13, 2007 · Other
- E•••• M•••• W••• from I•••• I•••Sep 13, 2007 · Other
- R•••• L••••• M••••• from I•••• I•••Sep 13, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• P••••• B••••••• · Vice President/Secretary/Treasurercontrolsince 07/2007 · owns 10% to 25%
- M•••••• R••••• L••••• · Presidentcontrolsince 07/2007 · owns 50% to 75%
- W•••• E••••• M•••• · Vice Presidentcontrolsince 07/2007 · owns 10% to 25%
- W•••• M••••••• A•••• · Chief Compliance Officercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Middletown, Oh · principal | 3 | 0 | 0 | ||
| Lebanon, Oh | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 426 to 417Jun 17, 2025 to Jun 9, 2026
- HNW clients · 39 to 47Jun 17, 2025 to Jun 9, 2026
- Individual clients · 97 to 91Jun 17, 2025 to Jun 9, 2026
- Discretionary RAUM · $198M to $231MJun 17, 2025 to Jun 9, 2026
- HNW RAUM · $171M to $207MJun 17, 2025 to Jun 9, 2026
- Individual RAUM · $27.6M to $24.1MJun 17, 2025 to Jun 9, 2026
- Non-discretionary RAUM · $1.8M to $1.9MJun 17, 2025 to Jun 9, 2026
- RAUM · $199M to $233MJun 17, 2025 to Jun 9, 2026
- Accounts · 382 to 426May 8, 2024 to Jun 17, 2025
- HNW clients · 37 to 39May 8, 2024 to Jun 17, 2025
- Individual clients · 91 to 97May 8, 2024 to Jun 17, 2025
- Financial planning clients · 101-250 to 101-250May 8, 2024 to Jun 17, 2025
- Discretionary RAUM · $186M to $198MMay 8, 2024 to Jun 17, 2025
- HNW RAUM · $161M to $171MMay 8, 2024 to Jun 17, 2025
- Individual RAUM · $26.7M to $27.6MMay 8, 2024 to Jun 17, 2025
- Non-discretionary RAUM · $2.5M to $1.8MMay 8, 2024 to Jun 17, 2025
- RAUM · $189M to $199MMay 8, 2024 to Jun 17, 2025
- Accounts · 418 to 382Jun 21, 2023 to May 8, 2024
- HNW clients · 42 to 37Jun 21, 2023 to May 8, 2024
- Individual clients · 84 to 91Jun 21, 2023 to May 8, 2024
- Discretionary RAUM · $170M to $186MJun 21, 2023 to May 8, 2024
- HNW RAUM · $146M to $161MJun 21, 2023 to May 8, 2024
- Individual RAUM · $27.6M to $26.7MJun 21, 2023 to May 8, 2024
- Non-discretionary RAUM · $3.7M to $2.5MJun 21, 2023 to May 8, 2024
- RAUM · $173M to $189MJun 21, 2023 to May 8, 2024
- Accounts · 405 to 418Jun 28, 2022 to Jun 21, 2023
- HNW clients · 44 to 42Jun 28, 2022 to Jun 21, 2023
- Individual clients · 67 to 84Jun 28, 2022 to Jun 21, 2023
- Other offices · 0 to 1Jun 28, 2022 to Jun 21, 2023
- Discretionary RAUM · $163M to $170MJun 28, 2022 to Jun 21, 2023
- HNW RAUM · $146M to $146MJun 28, 2022 to Jun 21, 2023
- Individual RAUM · $20.8M to $27.6MJun 28, 2022 to Jun 21, 2023
- Non-discretionary RAUM · $3.4M to $3.7MJun 28, 2022 to Jun 21, 2023
- RAUM · $167M to $173MJun 28, 2022 to Jun 21, 2023
- Accounts · 393 to 405Aug 6, 2021 to Jun 28, 2022
- HNW clients · 38 to 44Aug 6, 2021 to Jun 28, 2022
- Individual clients · 76 to 67Aug 6, 2021 to Jun 28, 2022
- HQ city · LEBANON to MIDDLETOWNAug 6, 2021 to Jun 28, 2022
- Discretionary RAUM · $160M to $163MAug 6, 2021 to Jun 28, 2022
- HNW RAUM · $137M to $146MAug 6, 2021 to Jun 28, 2022
Signals
2 dated events
- Allen Matthew Weed (Chief Compliance Officer) appeared on Schedule A of S••••• F•••••••• A•••••••• I•••Aug 6, 2021 · Control person joined · fact
- S••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Apr 21, 2015 · 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
- 513-424-6300reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-424-6300reportedpublic record, Form ADV, Jun 9, 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
- $46.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026