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
H••••••• F•••••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 19, 2012 · 20 filings
SEC status approved since Mar 8, 2017
RAUM
$188M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
69%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$94.0M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$188M as of Mar 27, 2026
Mar 19, 2012$76.9M then
HNW client RAUM$84.8M as of Mar 27, 2026
Mar 30, 2018$29.7M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 19, 20120 then
Employees (5.A)1 as of Mar 27, 2026
May 4, 20172 then
Private funds: no history
RAUM +9.5% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $94.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $374,553derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$84.8M45%
- Charitable organizations$57.5M31%
- Individuals$45.7M24%
- Individual clients
- 185reported
- HNW clients
- 35reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••••• B••••• S•••••••Certified Financial Planner | Waterville, Oh | Sep 15, 2010 | 26 y | 2 |
| S•••• M•••• W•••••Certified Financial Planner | Waterville, Oh | Sep 15, 2010 | 20 y | 2 |
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
- C•••••••• B••••• S••••••• from O•• F••••••••Sep 15, 2010 · Other
- S•••• M•••• W••••• from O•• F••••••••Sep 15, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• S••••• M•••• · Managing Member/Chief Compliance Officercontrolsince 08/2010 · owns less than 5%
- W•••••• S••••• M•••• · Managing Membercontrolsince 08/2010 · owns 25% to 50% of H••••••• I•• L••
- W•••••• S••••• M•••• · Managing Membercontrolsince 01/2008 · owns 75% or more of S••• W•••••• L••
Entity owners
- H••••••• I•• L•• · Memberdirect · owns 25% to 50%
- S••• W•••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Waterville, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bowling Green, OH1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 27, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 469 to 502May 8, 2025 to Mar 27, 2026
- HNW clients · 31 to 35May 8, 2025 to Mar 27, 2026
- Individual clients · 186 to 185May 8, 2025 to Mar 27, 2026
- HNW RAUM · $78.0M to $84.8MMay 8, 2025 to Mar 27, 2026
- Individual RAUM · $37.4M to $45.7MMay 8, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $172M to $188MMay 8, 2025 to Mar 27, 2026
- RAUM · $172M to $188MMay 8, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250Apr 10, 2025 to May 8, 2025
- Succession · true to falseApr 10, 2025 to May 8, 2025
- Accounts · 460 to 469Mar 21, 2024 to Apr 10, 2025
- HNW clients · 26 to 31Mar 21, 2024 to Apr 10, 2025
- HNW RAUM · $64.5M to $78.0MMar 21, 2024 to Apr 10, 2025
- Individual RAUM · $38.2M to $37.4MMar 21, 2024 to Apr 10, 2025
- Non-discretionary RAUM · $157M to $172MMar 21, 2024 to Apr 10, 2025
- RAUM · $157M to $172MMar 21, 2024 to Apr 10, 2025
- Succession · false to trueMar 21, 2024 to Apr 10, 2025
- Accounts · 473 to 460Mar 30, 2023 to Mar 21, 2024
- Individual clients · 183 to 186Mar 30, 2023 to Mar 21, 2024
- HNW RAUM · $49.0M to $64.5MMar 30, 2023 to Mar 21, 2024
- Individual RAUM · $36.4M to $38.2MMar 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $135M to $157MMar 30, 2023 to Mar 21, 2024
- RAUM · $135M to $157MMar 30, 2023 to Mar 21, 2024
- Accounts · 472 to 473Mar 17, 2022 to Mar 30, 2023
- Individual clients · 169 to 183Mar 17, 2022 to Mar 30, 2023
- Employees · 2 to 1Mar 17, 2022 to Mar 30, 2023
- HNW RAUM · $62.4M to $49.0MMar 17, 2022 to Mar 30, 2023
- Individual RAUM · $33.9M to $36.4MMar 17, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $158M to $135MMar 17, 2022 to Mar 30, 2023
- RAUM · $158M to $135MMar 17, 2022 to Mar 30, 2023
- Accounts · 498 to 472May 13, 2021 to Mar 17, 2022
- HNW clients · 18 to 26May 13, 2021 to Mar 17, 2022
- Individual clients · 189 to 169May 13, 2021 to Mar 17, 2022
- HNW RAUM · $49.7M to $62.4MMay 13, 2021 to Mar 17, 2022
- Individual RAUM · $34.8M to $33.9MMay 13, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $137M to $158MMay 13, 2021 to Mar 17, 2022
- RAUM · $137M to $158MMay 13, 2021 to Mar 17, 2022
- Accounts · 584 to 498Jun 30, 2020 to Mar 9, 2021
- HNW clients · 16 to 18Jun 30, 2020 to Mar 9, 2021
- Individual clients · 177 to 189Jun 30, 2020 to Mar 9, 2021
- HNW RAUM · $45.9M to $49.7MJun 30, 2020 to Mar 9, 2021
Signals
3 dated events
- H••••••• F•••••••• A•••••••• L•• reported succeeding to the business of H••••••• F•••••••• A•••••••• L•• (Form ADV Item 4)Apr 10, 2025 · Succession (Item 4) · fact
- Bowman Charlotte Sargeant (Managing Member) no longer on Schedule A of H••••••• F•••••••• A•••••••• L•• (listed 2019-05-16, absent 2020-04-07)Apr 7, 2020 · Control person left · inference
- H••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 28, 2017 · 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 phone
- 419-887-5887reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 419-887-5897reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 419-887-5887reportedpublic record, Form ADV, Mar 27, 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
- $94.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026