DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

H•••• • H•••• C• L••

Independent wealth managerSEC-registered· Lima, Ohio

Independent wealth manager, based in Lima, Ohio, reporting $269M of regulatory assets across 2 registered advisors.

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

As of 2026-01-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $269M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +7.0%
Private clients: 89% of RAUM, $241M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-01-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

private-client share of RAUM moved from 63.0% to 89.0% between the annual amendments of 2025-01-13 and 2026-01-05
2026-01-05
private-client share of RAUM 0.893382349161074
1 published business contact point is on record, each with its source.
Contact points 1

Every filed figure, and the identifiersCRD 145088 · SEC 801-129299 · 6 filingsShow

CRD 145088SEC 801-129299First filing on the tape Dec 5, 2023, latest Jan 5, 2026SEC status approved since Mar 29, 2024IAPD

RAUM

$269M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

89%

$241M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$135M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

RAUM$269M as of Jan 5, 2026

Jan 13, 2025$252M then

HNW client RAUM$153M as of Jan 5, 2026

Jan 13, 2025$125M then

State-registered IARs (5.B.3)2 as of Jan 5, 2026

Jan 13, 20252 then

Employees (5.A)2 as of Jan 5, 2026

Jan 13, 20252 then

Private funds: no history

RAUM +7.0% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Jan 5, 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
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $135MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 122derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $990,463derivedHNW RAUM over HNW clients
Average account: $990,463derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +7.0%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 assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, 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

buys or sells securities as principal to or from clients (8.A.2)
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$153M57%
Individuals$88.2M33%
Pension and profit-sharing plans$28.7M11%

Individual clients: 89reported
HNW clients: 154reported
Pension plan clients: 29reported
Charitable clients: n/areported
Accounts: 272reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=2.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
B•••••• O••• H••••	Lima, Oh	Sep 13, 2007	33 y	0
S•••• R•••••• J•••••	Lima, Oh	Aug 14, 2008	28 y	1

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

S•••• R•••••• J••••• from O• I••••••••• M••••••••• C•
Aug 14, 2008 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H••••• B••••••• O••• · Chief Compliance Officercontrol
since 08/2007 · owns 25% to 50%
J•••••• S••••• R•••••• · Managing Partnercontrol
since 08/2023 · owns 50% to 75%

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
Lima, Oh · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

4 against comparable advisers; where to look, not conclusions

institutional to wealth shiftCombination · filing Jan 5, 2026
institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $251,816,694 to $269,406,039, advisors 2 to 2, private clients 289 to 243, offices 0 to 0 (2025-01-13 to 2026-01-05)
peers: independent wealth managers, $100M to $500M (5,679)
low discretionary shareStatic outlier · filing Jan 5, 2026
discretionary share of RAUM of 0% against a peer median of 100% (5679 comparable advisers, 0.0th percentile, 33.7 robust deviations)
peers: independent wealth managers, $100M to $500M (5,679) · 0.0% percentile
client mix shiftChange between filings · filing Jan 5, 2026
private-client share of RAUM moved from 63.0% to 89.0% between the annual amendments of 2025-01-13 and 2026-01-05
peers: independent wealth managers, $100M to $500M (5,679)
institutional asset share shiftChange between filings · filing Jan 5, 2026
institutional share of RAUM moved from 37.0% to 11.0% between the annual amendments of 2025-01-13 and 2026-01-05
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 324 to 272
Jan 13, 2025 to Jan 5, 2026
HNW clients · 131 to 154
Jan 13, 2025 to Jan 5, 2026
Individual clients · 158 to 89
Jan 13, 2025 to Jan 5, 2026
Pension plan clients · 35 to 29
Jan 13, 2025 to Jan 5, 2026
HNW RAUM · $125M to $153M
Jan 13, 2025 to Jan 5, 2026
Individual RAUM · $34.2M to $88.2M
Jan 13, 2025 to Jan 5, 2026
Non-discretionary RAUM · $252M to $269M
Jan 13, 2025 to Jan 5, 2026
Pension RAUM · $93.0M to $28.7M
Jan 13, 2025 to Jan 5, 2026
RAUM · $252M to $269M
Jan 13, 2025 to Jan 5, 2026
Accounts · 207 to 324
May 10, 2024 to Jan 13, 2025
Charity clients · 0.0 to unset
May 10, 2024 to Jan 13, 2025
HNW clients · 136 to 131
May 10, 2024 to Jan 13, 2025
Individual clients · 56 to 158
May 10, 2024 to Jan 13, 2025
Pension plan clients · 15 to 35
May 10, 2024 to Jan 13, 2025
Financial planning clients · unset to
May 10, 2024 to Jan 13, 2025
HNW RAUM · $103M to $125M
May 10, 2024 to Jan 13, 2025
Individual RAUM · $55.8M to $34.2M
May 10, 2024 to Jan 13, 2025
Non-discretionary RAUM · $206M to $252M
May 10, 2024 to Jan 13, 2025
Pension RAUM · $47.3M to $93.0M
May 10, 2024 to Jan 13, 2025
RAUM · $206M to $252M
May 10, 2024 to Jan 13, 2025
Accounts · 165 to 207
Mar 29, 2024 to May 10, 2024
Advisory employees · 3 to 2
Mar 29, 2024 to May 10, 2024
BD registered reps · 3 to 2
Mar 29, 2024 to May 10, 2024
HNW clients · 78 to 136
Mar 29, 2024 to May 10, 2024
Individual clients · 72 to 56
Mar 29, 2024 to May 10, 2024
Employees · 3 to 2
Mar 29, 2024 to May 10, 2024
State-registered IARs · 3 to 2
Mar 29, 2024 to May 10, 2024
HNW RAUM · $69.6M to $103M
Mar 29, 2024 to May 10, 2024
Individual RAUM · $64.3M to $55.8M
Mar 29, 2024 to May 10, 2024
Non-discretionary RAUM · $183M to $206M
Mar 29, 2024 to May 10, 2024
Pension RAUM · $49.5M to $47.3M
Mar 29, 2024 to May 10, 2024
RAUM · $183M to $206M
Mar 29, 2024 to May 10, 2024

Signals

1 dated events

••• Locked
Dec 5, 2023 · 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, Jan 5, 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: $135Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026