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
I••••• I•••
Legal name J••••• I••
Latest filing Feb 2, 2026
First filing on the tape Nov 1, 2021 · 11 filings
SEC status approved since Feb 23, 2022
RAUM
$159M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$159M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$31.7M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$159M as of Feb 2, 2026
Mar 1, 2023$102M then
HNW client RAUM$0 as of Feb 2, 2026
Mar 1, 2023$0 then
State-registered IARs (5.B.3)3 as of Feb 2, 2026
Mar 1, 20233 then
Employees (5.A)5 as of Feb 2, 2026
Mar 1, 20235 then
Private funds: no history
RAUM +27% over the last fiscal year+16% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $31.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $237,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$159M100%
- Individual clients
- 208reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 668reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 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 |
|---|---|---|---|---|
| J•••• M•••••• T••••••• | Lexington, Ky | May 16, 2024 | 25 y | 2 |
| J••• D• T••••••• | Lexington, Ky | Aug 19, 2024 | 31 y | 2 |
| J•••• A••• S••••Certified Financial Planner | Lexington, Ky | Aug 21, 2025 | 29 y | 1 |
| R•••• D••••• S••••••Certified Financial Planner | Lexington, Ky | Jan 1, 2026 | 43 y | 1 |
| G••••• D•••• P••••• | Lexington, Ky | Jan 1, 2026 | 40 y | 1 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- G••••• D•••• P••••• from P••••• F•••••••• P•••••••• I••Jan 1, 2026 · Other
- R•••• D••••• S•••••• from C•••••••• F••••••••Jan 1, 2026 · Other
- J•••• A••• S•••• from P••••• F•••••••• P•••••••• I••Aug 21, 2025 · Other
- J•••• M•••••• T••••••• from U•• F•••••••• S••••••• I•••May 16, 2024 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P••••• F•••••••• P•••••••• I••Dec 8, 2022 · Lexington, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••••••• J•••• D• · President & Ccocontrolsince 01/1998 · owns 75% or more
Related persons
Schedule D 7.A
- T••••••• F•••••••• G•••• I••insurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 160 to 668Jan 6, 2025 to Feb 2, 2026
- Individual clients · 255 to 208Jan 6, 2025 to Feb 2, 2026
- Discretionary RAUM · $119M to $152MJan 6, 2025 to Feb 2, 2026
- Individual RAUM · $125M to $159MJan 6, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $6.0M to $6.9MJan 6, 2025 to Feb 2, 2026
- RAUM · $125M to $159MJan 6, 2025 to Feb 2, 2026
- Accounts · 475 to 160Feb 29, 2024 to Jan 6, 2025
- Financial planning clients · 0 to 0Feb 29, 2024 to Jan 6, 2025
- Discretionary RAUM · $102M to $119MFeb 29, 2024 to Jan 6, 2025
- Individual RAUM · $109M to $125MFeb 29, 2024 to Jan 6, 2025
- Non-discretionary RAUM · $7.3M to $6.0MFeb 29, 2024 to Jan 6, 2025
- RAUM · $109M to $125MFeb 29, 2024 to Jan 6, 2025
- Accounts · 495 to 475Mar 1, 2023 to Feb 29, 2024
- Individual clients · 205 to 255Mar 1, 2023 to Feb 29, 2024
- Other offices · 1 to 0Mar 1, 2023 to Feb 29, 2024
- Discretionary RAUM · $102M to $102MMar 1, 2023 to Feb 29, 2024
- Individual RAUM · $102M to $109MMar 1, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $0 to $7.3MMar 1, 2023 to Feb 29, 2024
- RAUM · $102M to $109MMar 1, 2023 to Feb 29, 2024
- Accounts · 503 to 495Feb 8, 2022 to Mar 1, 2023
- Advisory employees · 3 to 5Feb 8, 2022 to Mar 1, 2023
- Individual clients · 195 to 205Feb 8, 2022 to Mar 1, 2023
- Employees · 3 to 5Feb 8, 2022 to Mar 1, 2023
- Discretionary RAUM · $92.7M to $102MFeb 8, 2022 to Mar 1, 2023
- Individual RAUM · $103M to $102MFeb 8, 2022 to Mar 1, 2023
- Non-discretionary RAUM · $10.5M to $0Feb 8, 2022 to Mar 1, 2023
- RAUM · $103M to $102MFeb 8, 2022 to Mar 1, 2023
- Discretionary RAUM · $92.4M to $92.7MDec 22, 2021 to Jan 31, 2022
- Individual RAUM · $103M to $103MDec 22, 2021 to Jan 31, 2022
- RAUM · $103M to $103MDec 22, 2021 to Jan 31, 2022
Signals
2 dated events
- 2 advisors left P••••• F•••••••• P•••••••• I•• (Lexington, KY) for I••••• I••• on the same dayDec 8, 2022 · Team lift-out · derived
- I••••• I••• filed its initial SEC registration (Form ADV)Nov 1, 2021 · 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
- 859-268-9200reportedpublic record, Form ADV, Feb 2, 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
- $31.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026