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
E••••• A•••• M••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jan 23, 2015 · 13 filings
SEC status approved since Jan 30, 2015
RAUM
$341M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$330M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$85.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$341M as of Mar 20, 2026
Jan 26, 2016$105M then
HNW client RAUM$109M as of Mar 20, 2026
Mar 7, 2018$31.1M then
State-registered IARs (5.B.3)5 as of Mar 20, 2026
Jan 26, 20164 then
Employees (5.A)5 as of Mar 20, 2026
Jan 26, 20166 then
Private funds: no history
RAUM -6.4% over the last fiscal year+6.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $85.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 118derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.1MderivedHNW RAUM over HNW clients
- Average account
- $361,715derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $341MreportedItem 5.I
- 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
- Individuals$220M65%
- High-net-worth individuals$109M32%
- Corporations and businesses$10.7M3.1%
- Pension and profit-sharing plans$643,7790.2%
- Individual clients
- 452reported
- HNW clients
- 18reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 943reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• L••••••• L••••••Chartered Financial Analyst | Cincinnati, Oh | May 23, 2011 | 15 y | 0 |
| S••••• R••••••• J••• | Cincinnati, Oh | May 26, 2011 | 39 y | 2 |
| P•••••• C••••••••• L•••••• | Cincinnati, Oh | Apr 10, 2012 | 16 y | 1 |
| C•••• J•••• L•••••• | Cincinnati, Oh | Feb 23, 2017 | 11 y | 0 |
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
- P•••••• C••••••••• L•••••• from M••••• K••••• • C••••••• L••Apr 10, 2012 · Other
- S••••• R••••••• J••• from M••••• K••••• • C••••••• L••May 26, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• B••••• L••••••• · Chief Executive Officer, Chief Investment Officer & Chief Compliance Officercontrolsince 01/2011 · owns 25% to 50%
- L••••••• C••••• J•••• · Managing Partnercontrolsince 01/2020 · owns 25% to 50%
- L••••••• P••••••• C••••••••• · Managing Partnercontrolsince 01/2020 · owns 25% to 50%
Related persons
Schedule D 7.A
- E••••• W••••• M•••••••••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 968 to 943Mar 25, 2025 to Mar 20, 2026
- Corporate clients · 1 to 2Mar 25, 2025 to Mar 20, 2026
- HNW clients · 17 to 18Mar 25, 2025 to Mar 20, 2026
- Individual clients · 456 to 452Mar 25, 2025 to Mar 20, 2026
- Discretionary RAUM · $364M to $341MMar 25, 2025 to Mar 20, 2026
- HNW RAUM · $143M to $109MMar 25, 2025 to Mar 20, 2026
- Individual RAUM · $216M to $220MMar 25, 2025 to Mar 20, 2026
- Pension RAUM · $585,941 to $643,779Mar 25, 2025 to Mar 20, 2026
- RAUM · $364M to $341MMar 25, 2025 to Mar 20, 2026
- Accounts · 874 to 968Mar 20, 2024 to Mar 25, 2025
- Advisory employees · 6 to 5Mar 20, 2024 to Mar 25, 2025
- BD registered reps · 6 to 5Mar 20, 2024 to Mar 25, 2025
- Individual clients · 430 to 456Mar 20, 2024 to Mar 25, 2025
- Employees · 6 to 5Mar 20, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 25, 2025
- State-registered IARs · 6 to 5Mar 20, 2024 to Mar 25, 2025
- Discretionary RAUM · $337M to $364MMar 20, 2024 to Mar 25, 2025
- HNW RAUM · $108M to $143MMar 20, 2024 to Mar 25, 2025
- Individual RAUM · $221M to $216MMar 20, 2024 to Mar 25, 2025
- Pension RAUM · $525,132 to $585,941Mar 20, 2024 to Mar 25, 2025
- RAUM · $337M to $364MMar 20, 2024 to Mar 25, 2025
- Accounts · 870 to 874Mar 21, 2023 to Mar 20, 2024
- HNW clients · 12 to 17Mar 21, 2023 to Mar 20, 2024
- Individual clients · 435 to 430Mar 21, 2023 to Mar 20, 2024
- Discretionary RAUM · $284M to $337MMar 21, 2023 to Mar 20, 2024
- HNW RAUM · $95.2M to $108MMar 21, 2023 to Mar 20, 2024
- Individual RAUM · $183M to $221MMar 21, 2023 to Mar 20, 2024
- Pension RAUM · $443,823 to $525,132Mar 21, 2023 to Mar 20, 2024
- RAUM · $284M to $337MMar 21, 2023 to Mar 20, 2024
- Accounts · 817 to 870Mar 15, 2022 to Mar 21, 2023
- HNW clients · 8 to 12Mar 15, 2022 to Mar 21, 2023
- Individual clients · 414 to 435Mar 15, 2022 to Mar 21, 2023
- Discretionary RAUM · $278M to $284MMar 15, 2022 to Mar 21, 2023
- HNW RAUM · $69.1M to $95.2MMar 15, 2022 to Mar 21, 2023
- Individual RAUM · $202M to $183MMar 15, 2022 to Mar 21, 2023
- Pension RAUM · $475,290 to $443,823Mar 15, 2022 to Mar 21, 2023
- RAUM · $278M to $284MMar 15, 2022 to Mar 21, 2023
- Accounts · 758 to 817Mar 3, 2021 to Mar 15, 2022
- Individual clients · 409 to 414Mar 3, 2021 to Mar 15, 2022
- Discretionary RAUM · $238M to $278MMar 3, 2021 to Mar 15, 2022
Signals
5 dated events
- Randolf Steven Jung (Member) no longer on Schedule A of E••••• A•••• M••••••••• L•• (listed 2023-03-21, absent 2024-03-20)Mar 20, 2024 · Control person left · inference
- Christopher Patrick Lysaght (Managing Partner) appeared on Schedule A of E••••• A•••• M••••••••• L••Feb 6, 2020 · Control person joined · fact
- James Casey Lysaght (Managing Partner) appeared on Schedule A of E••••• A•••• M••••••••• L••Feb 6, 2020 · Control person joined · fact
- John Timothy Lysaght (Member) no longer on Schedule A of E••••• A•••• M••••••••• L•• (listed 2019-02-27, absent 2020-02-06)Feb 6, 2020 · Control person left · inference
- E••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jan 23, 2015 · 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
- 513-621-0490reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 513-977-4799reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E•••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-977-4799reportedpublic record, Form ADV, Mar 20, 2026
- Contact form
- e•••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $85.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026