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

A••••••• I•••••••••

Former SEC-registered adviserWorthington, OhioCRD 147340SEC 801-132567websiteIAPD
Legal name A••••••• I••••••••• L••
Latest filing Jul 15, 2025
First filing on the tape May 3, 2025 · 2 filings
SEC status approved since May 6, 2025
RAUM
$24.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$24.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$24.8M as of Jul 15, 2025
May 3, 2025$24.8M then
HNW client RAUM$15.3M as of Jul 15, 2025
May 3, 2025$15.3M then
State-registered IARs (5.B.3)3 as of Jul 15, 2025
May 3, 20253 then
Employees (5.A)4 as of Jul 15, 2025
May 3, 20254 then
Private funds: no history
Practice profile
derived from the filing of Jul 15, 2025; every figure names its basis
RAUM per advisor
$8.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
23derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$156,143derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$15.3M62%
  • Individuals$9.5M38%
Individual clients
62reported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
159reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Columbus, Oh001
Worthington, Oh · principal002
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Financial planning clients · 26-50 to 26-50
    May 3, 2025 to Jul 15, 2025
Signals
6 dated events
  • A••••••• I••••••••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $24.8M)
    Apr 1, 2026 · Left the SEC roster · derived
  • S•••• T••••• C••••• left A••••••• I••••••••• for B•••••• W••••• (registered 2025-05-06)
    Mar 24, 2026 · Advisor changed firm · fact
  • D•••• L•• M••••• left A••••••• I••••••••• for B•••••• W••••• (registered 2025-05-23)
    Mar 24, 2026 · Advisor changed firm · fact
  • L•••• E••••• T••••••• left A••••••• I••••••••• for B•••••• W••••• (registered 2025-10-24)
    Mar 24, 2026 · Advisor changed firm · fact
  • 2 advisors left B••• F•••••••• G••••• I•• (Worthington, OH) for A••••••• I••••••••• on the same day
    Mar 24, 2026 · Team lift-out · derived
  • A••••••• I•••••••••'s advisors moved to B•••••• W••••• (Worthington, OH): 3 of 3 registered, on the same day
    Mar 24, 2026 · Firm absorbed (people side) · derived
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