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
R••••••• I••••••••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape May 17, 2021 · 11 filings
SEC status approved since Jun 17, 2021
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$155M
derived; firm RAUM over IAPD count
Employees
1
1 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$155M as of Mar 19, 2026
Mar 22, 2022$120M then
HNW client RAUM$122M as of Mar 19, 2026
Mar 22, 2022$94.2M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 22, 20222 then
Employees (5.A)1 as of Mar 19, 2026
Mar 22, 20222 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $155MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 156derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $345,374derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- High-net-worth individuals$122M78%
- Individuals$33.4M22%
- Individual clients
- 85reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 449reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A•• C•••• | Cincinnati, Oh | Apr 14, 2010 | 26 y | 5 |
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
- D••••• A•• C•••• from E•••• F•••••••• G••••• I•••Apr 14, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D•••••• A•• · Managing Member/Chief Compliance Officercontrolsince 03/2010 · owns 75% or more
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 · 442 to 449May 22, 2025 to Mar 19, 2026
- HNW clients · 66 to 71May 22, 2025 to Mar 19, 2026
- Individual clients · 78 to 85May 22, 2025 to Mar 19, 2026
- Discretionary RAUM · $137M to $155MMay 22, 2025 to Mar 19, 2026
- HNW RAUM · $112M to $122MMay 22, 2025 to Mar 19, 2026
- Individual RAUM · $25.8M to $33.4MMay 22, 2025 to Mar 19, 2026
- RAUM · $137M to $155MMay 22, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Mar 21, 2025 to May 22, 2025
- Accounts · 453 to 442Mar 26, 2024 to Mar 21, 2025
- Advisory employees · 3 to 1Mar 26, 2024 to Mar 21, 2025
- HNW clients · 64 to 66Mar 26, 2024 to Mar 21, 2025
- Individual clients · 90 to 78Mar 26, 2024 to Mar 21, 2025
- Employees · 3 to 1Mar 26, 2024 to Mar 21, 2025
- State-registered IARs · 3 to 1Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $123M to $137MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $98.5M to $112MMar 26, 2024 to Mar 21, 2025
- Individual RAUM · $24.6M to $25.8MMar 26, 2024 to Mar 21, 2025
- RAUM · $123M to $137MMar 26, 2024 to Mar 21, 2025
- Accounts · 381 to 453Jan 17, 2024 to Mar 26, 2024
- HNW clients · 35 to 64Jan 17, 2024 to Mar 26, 2024
- Individual clients · 103 to 90Jan 17, 2024 to Mar 26, 2024
- Employees · 4 to 3Jan 17, 2024 to Mar 26, 2024
- Discretionary RAUM · $115M to $123MJan 17, 2024 to Mar 26, 2024
- HNW RAUM · $74.9M to $98.5MJan 17, 2024 to Mar 26, 2024
- Individual RAUM · $39.8M to $24.6MJan 17, 2024 to Mar 26, 2024
- RAUM · $115M to $123MJan 17, 2024 to Mar 26, 2024
- Accounts · 391 to 381May 10, 2022 to Mar 9, 2023
- Advisory employees · 2 to 3May 10, 2022 to Mar 9, 2023
- HNW clients · 34 to 35May 10, 2022 to Mar 9, 2023
- Individual clients · 94 to 103May 10, 2022 to Mar 9, 2023
- Employees · 2 to 4May 10, 2022 to Mar 9, 2023
- State-registered IARs · 2 to 3May 10, 2022 to Mar 9, 2023
- Discretionary RAUM · $120M to $115MMay 10, 2022 to Mar 9, 2023
- HNW RAUM · $94.2M to $74.9MMay 10, 2022 to Mar 9, 2023
- Individual RAUM · $26.1M to $39.8MMay 10, 2022 to Mar 9, 2023
- RAUM · $120M to $115MMay 10, 2022 to Mar 9, 2023
- Accounts · 386 to 391May 17, 2021 to Mar 22, 2022
- HNW clients · 35 to 34May 17, 2021 to Mar 22, 2022
- Individual clients · 90 to 94May 17, 2021 to Mar 22, 2022
- Discretionary RAUM · $106M to $120MMay 17, 2021 to Mar 22, 2022
Signals
1 dated events
- R••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 17, 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
- Business email
- e••••@r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 513-871-0123reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- R•••••••IA.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (513) 871-0123reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $155Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026