DFX Intelligence
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S••••• I••••••••• A•••••••• L••
Independent wealth managerSEC-registered1 private funds· Cincinnati, Ohio
Independent wealth manager, based in Cincinnati, Ohio, reporting $269M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $269M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +14%
- Private clients
- 84% of RAUM, $225M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 146401 · SEC 801-124976 · 11 filingsShowHide
CRD 146401SEC 801-124976First filing on the tape Apr 8, 2022, latest May 28, 2026SEC status approved since May 9, 2022IAPD
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$225M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$269M as of May 28, 2026
Feb 20, 2023$114M then
HNW client RAUM$217M as of May 28, 2026
Feb 20, 2023$78.4M then
State-registered IARs (5.B.3)3 as of May 28, 2026
Feb 20, 20233 then
Employees (5.A)3 as of May 28, 2026
Feb 20, 20233 then
Private funds1 as of May 28, 2026
Feb 20, 20231 then
RAUM +14% over the last fiscal year+33% a year over threeIARs 2 to 3
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M81%
- Pension and profit-sharing plans$12.6M4.7%
- Investment companies$12.2M4.5%
- Corporations and businesses$11.5M4.3%
- Individuals$7.8M2.9%
- Charitable organizations$7.8M2.9%
- Individual clients
- 39reported
- HNW clients
- 38reported
- Pension plan clients
- 6reported
- Charitable clients
- 3reported
- Accounts
- 193reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.05 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••• E••••• S••••• | Cincinnati, Oh | Feb 8, 2008 | 46 y | 0 |
| K••••• M•••• G••••• | Cincinnati, Oh | Feb 8, 2008 | 23 y | 0 |
| J•••••• N••• S••••• | Cincinnati, Oh | Dec 3, 2025 | 18 y | 0 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••• I••••••••• P•••••••• L• | Hedge Fund | $12.2M | 8 | Apr 8, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S•••••• N•••• E••••• · Manager/ Chief Investment Officercontrolsince 01/2008 · owns 75% or more
- G•••••• K•••••• M•••• · Account Manager/Chief Compliance Officersince 01/2008 · owns 25% to 50%
Related persons
Schedule D 7.A
- S••••• • S••••• C•••insurancey
- S••••• C••••••• I•••investment adviseryRAUM $12.2M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 171 to 193Nov 19, 2025 to Mar 25, 2026
- Advisory employees · 2 to 3Nov 19, 2025 to Mar 25, 2026
- Advisory activities · 2 to 3Nov 19, 2025 to Mar 25, 2026
- Charity clients · 2 to 3Nov 19, 2025 to Mar 25, 2026
- Corporate clients · 3 to 5Nov 19, 2025 to Mar 25, 2026
- HNW clients · 30 to 38Nov 19, 2025 to Mar 25, 2026
- Employees · 2 to 3Nov 19, 2025 to Mar 25, 2026
- Insurance-licensed employees · 0 to 3Nov 19, 2025 to Mar 25, 2026
- Financial planning clients · to 0Nov 19, 2025 to Mar 25, 2026
- State-registered IARs · 2 to 3Nov 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $237M to $269MNov 19, 2025 to Mar 25, 2026
- HNW RAUM · $182M to $217MNov 19, 2025 to Mar 25, 2026
- Individual RAUM · $11.1M to $7.8MNov 19, 2025 to Mar 25, 2026
- Pension RAUM · $10.1M to $12.6MNov 19, 2025 to Mar 25, 2026
- RAUM · $237M to $269MNov 19, 2025 to Mar 25, 2026
- Accounts · 154 to 171Mar 1, 2024 to Feb 18, 2025
- Advisory employees · 3 to 2Mar 1, 2024 to Feb 18, 2025
- Charity clients · 1 to 2Mar 1, 2024 to Feb 18, 2025
- Corporate clients · 1 to 3Mar 1, 2024 to Feb 18, 2025
- HNW clients · 27 to 30Mar 1, 2024 to Feb 18, 2025
- Pension plan clients · 7 to 6Mar 1, 2024 to Feb 18, 2025
- Employees · 3 to 2Mar 1, 2024 to Feb 18, 2025
- Financial planning clients · unset to Mar 1, 2024 to Feb 18, 2025
- State-registered IARs · 3 to 2Mar 1, 2024 to Feb 18, 2025
- Discretionary RAUM · $139M to $237MMar 1, 2024 to Feb 18, 2025
- HNW RAUM · $110M to $182MMar 1, 2024 to Feb 18, 2025
- Individual RAUM · $9.3M to $11.1MMar 1, 2024 to Feb 18, 2025
- Pension RAUM · $8.8M to $10.1MMar 1, 2024 to Feb 18, 2025
- RAUM · $139M to $237MMar 1, 2024 to Feb 18, 2025
- Accounts · 138 to 154Feb 21, 2023 to Feb 19, 2024
- HNW clients · 20 to 27Feb 21, 2023 to Feb 19, 2024
- Individual clients · 33 to 39Feb 21, 2023 to Feb 19, 2024
- Pension plan clients · 10 to 7Feb 21, 2023 to Feb 19, 2024
- Discretionary RAUM · $114M to $139MFeb 21, 2023 to Feb 19, 2024
- HNW RAUM · $78.4M to $110MFeb 21, 2023 to Feb 19, 2024
- Individual RAUM · $10.1M to $9.3MFeb 21, 2023 to Feb 19, 2024
- Pension RAUM · $15.7M to $8.8MFeb 21, 2023 to Feb 19, 2024
- RAUM · $114M to $139MFeb 21, 2023 to Feb 19, 2024
- Accounts · 102 to 138May 26, 2022 to Feb 20, 2023
- Corporate clients · 2 to 1May 26, 2022 to Feb 20, 2023
Signals
1 dated events
- ••• LockedApr 8, 2022 · 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, May 28, 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
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026