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

C••••••••• F•••••••• S••••••••• I•••

Former SEC-registered adviserDayton, OhioCRD 152628SEC 801-71080IAPD
Latest filing Mar 16, 2015
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$176M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$176M as of Mar 16, 2015
Mar 28, 2012$152M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 16, 2015
Feb 13, 20131 then
Employees (5.A)4 as of Mar 16, 2015
Feb 13, 20134 then
Private funds: no history
RAUM -8.5% over the last fiscal year+5.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 2015; every figure names its basis
RAUM per advisor
$176MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$346,497derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.5%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
509reported
Financial planning clients
1-10reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K•••• S••••••• J•••• · Presidentcontrol
    since 12/2009 · owns 75% or more
  • R•••• L•••••••• P•••••• · Chief Compliance Officercontrol
    since 12/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 630 to 509
    Mar 31, 2014 to Mar 16, 2015
  • Discretionary RAUM · $160M to $174M
    Mar 31, 2014 to Mar 16, 2015
  • Non-discretionary RAUM · $33.2M to $2.3M
    Mar 31, 2014 to Mar 16, 2015
  • RAUM · $193M to $176M
    Mar 31, 2014 to Mar 16, 2015
  • Accounts · 645 to 630
    Nov 15, 2013 to Mar 31, 2014
  • Discretionary RAUM · $142M to $160M
    Nov 15, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $29.0M to $33.2M
    Nov 15, 2013 to Mar 31, 2014
  • RAUM · $171M to $193M
    Nov 15, 2013 to Mar 31, 2014
  • Accounts · 639 to 645
    Dec 12, 2012 to Feb 13, 2013
  • BD registered reps · 2 to 3
    Dec 12, 2012 to Feb 13, 2013
  • Employees · 2 to 4
    Dec 12, 2012 to Feb 13, 2013
  • Discretionary RAUM · $124M to $142M
    Dec 12, 2012 to Feb 13, 2013
  • Non-discretionary RAUM · $27.9M to $29.0M
    Dec 12, 2012 to Feb 13, 2013
  • RAUM · $152M to $171M
    Dec 12, 2012 to Feb 13, 2013
  • Advisory employees · unset to 1.0
    Mar 28, 2012 to Dec 12, 2012
  • BD registered reps · unset to 2.0
    Mar 28, 2012 to Dec 12, 2012
  • Employees · unset to 2.0
    Mar 28, 2012 to Dec 12, 2012
  • State-registered IARs · unset to 1.0
    Mar 28, 2012 to Dec 12, 2012
Signals
No event on the tape.
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