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•••••••• L••

Former SEC-registered adviserParkersburg, West VirginiaCRD 154369SEC 801-71731IAPD
Latest filing Mar 10, 2017
First filing on the tape Dec 23, 2011 · 35 filings
RAUM
$158M
reported, Item 5.F
Discretionary
100%
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$158M as of Mar 10, 2017
Mar 6, 2012$112M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 10, 2017
Mar 9, 20136 then
Employees (5.A)5 as of Mar 10, 2017
Mar 9, 20136 then
Private funds: no history
RAUM +4.5% over the last fiscal year+4.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 10, 2017; every figure names its basis
RAUM per advisor
$31.5MderivedRAUM 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
$212,631derivedRAUM 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
1.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+4.5%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, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
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)
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
741reported
Financial planning clients
1,000reported
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
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
    • K•••••• T•••• E••••• · Managing Member And Chief Compliance Officercontrol
      since 07/2010 · owns 25% to 50%
    • S••••• M••••••• C•••••• · Managing Member And Ciocontrol
      since 07/2010 · owns 50% to 75%
    • W•••••••• R••••• E••••• · Cfocontrol
      since 07/2010 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Parkersburg, WV
    • Parkersburg, WV
    • Vienna, WV
    • Wheeling, WV
    What changed
    consecutive filings, newest first
    • Accounts · 714 to 741
      Dec 1, 2016 to Mar 10, 2017
    • Discretionary RAUM · $151M to $158M
      Dec 1, 2016 to Mar 10, 2017
    • RAUM · $151M to $158M
      Dec 1, 2016 to Mar 10, 2017
    • Accounts · 670 to 714
      Jan 28, 2016 to Feb 25, 2016
    • Financial planning clients · 0 to More than 500
      Jan 28, 2016 to Feb 25, 2016
    • Discretionary RAUM · $155M to $151M
      Jan 28, 2016 to Feb 25, 2016
    • RAUM · $155M to $151M
      Jan 28, 2016 to Feb 25, 2016
    • BD registered reps · 4 to 5
      Jan 29, 2015 to Feb 2, 2015
    • State-registered IARs · 4 to 5
      Jan 29, 2015 to Feb 2, 2015
    • Accounts · 982 to 670
      Nov 5, 2014 to Jan 29, 2015
    • Employees · 13 to 5
      Nov 5, 2014 to Jan 29, 2015
    • Discretionary RAUM · $138M to $155M
      Nov 5, 2014 to Jan 29, 2015
    • RAUM · $138M to $155M
      Nov 5, 2014 to Jan 29, 2015
    • Advisory employees · 4 to 5
      Oct 3, 2014 to Oct 14, 2014
    • Employees · 12 to 13
      Oct 3, 2014 to Oct 14, 2014
    • Employees · 10 to 12
      Jun 10, 2014 to Jul 18, 2014
    • Accounts · 895 to 982
      Feb 4, 2014 to Feb 18, 2014
    • Financial planning clients · 51-100 to 0
      Feb 4, 2014 to Feb 18, 2014
    • Discretionary RAUM · $117M to $138M
      Feb 4, 2014 to Feb 18, 2014
    • RAUM · $117M to $138M
      Feb 4, 2014 to Feb 18, 2014
    • Advisory employees · 6 to 4
      Mar 9, 2013 to Apr 11, 2013
    • BD registered reps · 6 to 4
      Mar 9, 2013 to Apr 11, 2013
    • Employees · 6 to 10
      Mar 9, 2013 to Apr 11, 2013
    • State-registered IARs · 6 to 4
      Mar 9, 2013 to Apr 11, 2013
    • Accounts · 829 to 895
      Jan 3, 2013 to Mar 9, 2013
    • Employees · 11 to 6
      Jan 3, 2013 to Mar 9, 2013
    • Discretionary RAUM · $112M to $117M
      Jan 3, 2013 to Mar 9, 2013
    • RAUM · $112M to $117M
      Jan 3, 2013 to Mar 9, 2013
    • Advisory employees · unset to 6.0
      Sep 26, 2012 to Dec 6, 2012
    • BD registered reps · unset to 6.0
      Sep 26, 2012 to Dec 6, 2012
    • Employees · unset to 11.0
      Sep 26, 2012 to Dec 6, 2012
    • State-registered IARs · unset to 6.0
      Sep 26, 2012 to Dec 6, 2012
    • Accounts · 723 to 829
      Dec 23, 2011 to Mar 6, 2012
    • Discretionary RAUM · $112M to $112M
      Dec 23, 2011 to Mar 6, 2012
    • RAUM · $112M to $112M
      Dec 23, 2011 to Mar 6, 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