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.

Former SEC-registered adviser

Aspiriant Investment Advisors, LLC

Former SEC-registered adviserCincinnati, OhioCRD 154619SEC 801-71724IAPD
Latest filing Jun 26, 2012
First filing on the tape Mar 29, 2012 · 3 filings
RAUM
$2.3B
reported, Item 5.F
Discretionary
0.3%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$2.3B as of Jun 26, 2012
Mar 29, 2012$2.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2012
Mar 29, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 26, 2012; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.3%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived6 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 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)
  • compensates persons for client referrals (8.G.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
1,794reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Joseph Robert Francais · Chief Executive Officercontrol
    since 06/2010 · owns less than 5%
  • Harris Michael Kossman · Chief Financial Officer/Chief Compliance Officer/Secretarycontrol
    since 06/2010 · owns less than 5%
  • Sangree Marc Primiani · General Counselcontrol
    since 06/2010 · owns less than 5%
  • Terrance Jason Thomas · Chief Investment Officercontrol
    since 06/2010 · owns less than 5%
  • Gregory Thomas Tracy · Chief Planning Officercontrol
    since 12/2011 · owns less than 5%
  • Marc Robert Wagman · Chief Strategy Officercontrol
    since 06/2010 · owns less than 5%
  • Joseph Robert Francais · Chief Executive Officercontrol
    since 01/2008 · owns F of Aspiriant Holdings, LLC; Aspiriant Holdings Corporation
Entity owners
  • Aspiriant, LLC · Managing Member
    direct · owns 50% to 75%
  • Aspiriant Holdings Corporation · Managing Member
    indirect · owns 50% to 75% of Aspiriant, LLC
  • Aspiriant Holdings, LLC · Member
    indirect · owns 25% to 50% of Aspiriant, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Boston, MA
  • Milwaukee, WI
  • Minneapolis, MN
  • New York, NY
  • San Francisco, CA
What changed
consecutive filings, newest first
  • Accounts · 2,075 to 1,794
    Mar 29, 2012 to Jun 26, 2012
  • Discretionary RAUM · $5.7M to $6.4M
    Mar 29, 2012 to Jun 26, 2012
  • Non-discretionary RAUM · $2.9B to $2.3B
    Mar 29, 2012 to Jun 26, 2012
  • RAUM · $2.9B to $2.3B
    Mar 29, 2012 to Jun 26, 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