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.
SEC-registered adviser
Lincoln Douglas Investments, LLC
Latest filing Mar 24, 2026
First filing on the tape Nov 9, 2011 · 2 filings
SEC status approved since Apr 17, 2026
RAUM
$131M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$16.3M
derived; firm RAUM over IAPD count
Employees
27
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$131M as of Mar 24, 2026
Nov 9, 2011$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)8 as of Mar 24, 2026
Nov 9, 20110 then
Employees (5.A): 27
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $16.3MderivedRAUM 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
- $530,688derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 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 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$131M100%
- Individual clients
- 246reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 246reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=27.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brandon Lee Bullock | Mt. Vernon, Oh | Nov 10, 2011 | 23 y | 4 |
| Kenneth Earl Dennis | Mt. Vernon, Oh | Nov 14, 2011 | 46 y | 0 |
| Stephen Christopher Dennis | Mt. Vernon, Oh | Jan 25, 2012 | 15 y | 0 |
| Nick BursonCertified Financial Planner | Mt. Vernon, Oh | Apr 20, 2012 | 15 y | 0 |
| Brian Eugene Mohney | Georgetown, Ga | Jan 15, 2013 | 27 y | 1 |
| Terry Lee Hill | Mt. Vernon, Oh | Feb 24, 2014 | 33 y | 3 |
| Zachary Stephen Dennis | Mt. Vernon, Oh | Mar 24, 2020 | 13 y | 0 |
| Nathaniel Emerson Fowler | Mt. Vernon, Oh | Nov 16, 2022 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 13% of current headcount1 left over 36 months
Left, latest
- Tenesha Marie Hartgrove to Money Concepts Advisory ServiceJul 8, 2026 · RIA to affiliated broker-dealer or bank
- Mark Christopher Guenard to Saling, Simms, Associates Inc.Jul 10, 2023 · Other
Joined, latest
- Mark Christopher Guenard from Columbia Management Investment Advisers, LLCJul 25, 2022 · Other
- Terry Lee Hill from Raymond James Financial Services Advisors, IncFeb 24, 2014 · Other
- Brian Eugene Mohney from B Riley Wealth ManagementJan 15, 2013 · Other
- Brandon Lee Bullock from B Riley Wealth ManagementNov 10, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Brandon Lee Bullock · Cfo, Finopcontrolsince 10/2010 · owns 10% to 25%
- Kenneth Earl Dennis · Ceocontrolsince 10/2010 · owns 25% to 50%
- Brian Eugene Mohney · Chief Compliance Officer / Amlcocontrolsince 05/2011 · owns 10% to 25%
- Douglas Marr Mansfield · General Counsel, Corporate Secretarysince 10/2010 · owns 25% to 50%
Related persons
Schedule D 7.A
- Lincoln Douglas Investments, LLC
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mt Vernon, Oh | 8 | 0 | 0 | ||
| Hilliard, Oh | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high employee count relative to advisorsStatic outlier · filing Mar 24, 2026employees per registered advisor of 3.4 against a peer median of 1.2 (1314 comparable advisers, 98.0th percentile, 7.3 robust deviations)peers: independent wealth managers, $100M to $500M (1,314) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 0 to 246Nov 9, 2011 to Mar 24, 2026
- Advisory employees · unset to 8.0Nov 9, 2011 to Mar 24, 2026
- BD registered reps · unset to 27.0Nov 9, 2011 to Mar 24, 2026
- Individual clients · unset to 246.0Nov 9, 2011 to Mar 24, 2026
- Employees · unset to 27.0Nov 9, 2011 to Mar 24, 2026
- Insurance-licensed employees · unset to 0.0Nov 9, 2011 to Mar 24, 2026
- Financial planning clients · 0 to 1-10Nov 9, 2011 to Mar 24, 2026
- HQ city · MT VERNON to MOUNT VERNONNov 9, 2011 to Mar 24, 2026
- State-registered IARs · 0 to 8Nov 9, 2011 to Mar 24, 2026
- Other offices · unset to 1.0Nov 9, 2011 to Mar 24, 2026
- Discretionary RAUM · $0 to $124MNov 9, 2011 to Mar 24, 2026
- Individual RAUM · unset to 130549335.0Nov 9, 2011 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $7.0MNov 9, 2011 to Mar 24, 2026
- RAUM · $0 to $131MNov 9, 2011 to Mar 24, 2026
Signals
2 dated events
- Tenesha Marie Hartgrove left Lincoln Douglas Investments, Llc for Money Concepts Advisory Service (registered 2026-08-06)Jul 8, 2026 · Advisor changed firm · fact
- Mark Christopher Guenard left Lincoln Douglas Investments, Llc for Saling, Simms, Associates Inc. (registered 2023-08-04)Jul 10, 2023 · Advisor changed firm · 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
- 740-397-1397reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 740-397-1980reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- LINCOLNDOUGLASINVESTMENTS.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 740-397-1397reportedpublic record, Form ADV, Mar 24, 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
- $16.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026