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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

R•••••••• W••••• M••••••••• L••

Former SEC-registered adviserBeavercreek, OhioCRD 157443SEC 801-72348IAPD
Latest filing Mar 22, 2024
First filing on the tape Mar 9, 2012 · 18 filings
RAUM
$221M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$219M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$221M as of Mar 22, 2024
Mar 9, 2012$146M then
HNW client RAUM$203M as of Mar 22, 2024
Mar 16, 2018$198M then
State-registered IARs (5.B.3)0 as of Mar 22, 2024
Mar 9, 20120 then
Employees (5.A)2 as of Mar 22, 2024
Mar 27, 20132 then
Private funds: no history
RAUM +3.1% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2024; 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
$6.0MderivedHNW RAUM over HNW clients
Average account
$2.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$203M92%
  • Individuals$15.3M6.9%
  • Pension and profit-sharing plans$2.1M1.0%
Individual clients
63reported
HNW clients
34reported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
99reported
Financial planning clients
1-10reported
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • R••• D••• L••• · Managing Membercontrol
    since 05/2011 · owns 50% to 75%
  • T••••• M••••••• T•••••• · Member / Chief Compliance Officercontrol
    since 05/2011 · owns 50% to 75%
Related persons
Schedule D 7.A
  • T•• A•••••••••
    insurancen
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Beavercreek, Oh · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Discretionary RAUM · $214M to $221M
    Mar 30, 2023 to Mar 22, 2024
  • HNW RAUM · $197M to $203M
    Mar 30, 2023 to Mar 22, 2024
  • Individual RAUM · $15.0M to $15.3M
    Mar 30, 2023 to Mar 22, 2024
  • Pension RAUM · $1.9M to $2.1M
    Mar 30, 2023 to Mar 22, 2024
  • RAUM · $214M to $221M
    Mar 30, 2023 to Mar 22, 2024
  • Accounts · 241 to 99
    May 25, 2022 to Mar 23, 2023
  • HNW clients · 95 to 34
    May 25, 2022 to Mar 23, 2023
  • Individual clients · 8 to 63
    May 25, 2022 to Mar 23, 2023
  • Discretionary RAUM · $235M to $214M
    May 25, 2022 to Mar 23, 2023
  • HNW RAUM · $231M to $197M
    May 25, 2022 to Mar 23, 2023
  • Individual RAUM · $1.4M to $15.0M
    May 25, 2022 to Mar 23, 2023
  • Pension RAUM · $2.0M to $1.9M
    May 25, 2022 to Mar 23, 2023
  • RAUM · $235M to $214M
    May 25, 2022 to Mar 23, 2023
  • Accounts · 242 to 241
    Mar 5, 2021 to Mar 25, 2022
  • HNW clients · 91 to 95
    Mar 5, 2021 to Mar 25, 2022
  • Individual clients · 7 to 8
    Mar 5, 2021 to Mar 25, 2022
  • Discretionary RAUM · $208M to $235M
    Mar 5, 2021 to Mar 25, 2022
  • HNW RAUM · $205M to $231M
    Mar 5, 2021 to Mar 25, 2022
  • Individual RAUM · $1.2M to $1.4M
    Mar 5, 2021 to Mar 25, 2022
  • Pension RAUM · $1.7M to $2.0M
    Mar 5, 2021 to Mar 25, 2022
  • RAUM · $208M to $235M
    Mar 5, 2021 to Mar 25, 2022
  • Accounts · 234 to 242
    Jun 17, 2020 to Mar 5, 2021
  • HNW clients · 80 to 91
    Jun 17, 2020 to Mar 5, 2021
  • Individual clients · 10 to 7
    Jun 17, 2020 to Mar 5, 2021
  • Discretionary RAUM · $198M to $208M
    Jun 17, 2020 to Mar 5, 2021
  • HNW RAUM · $196M to $205M
    Jun 17, 2020 to Mar 5, 2021
  • Individual RAUM · $480,418 to $1.2M
    Jun 17, 2020 to Mar 5, 2021
  • Pension RAUM · $1.6M to $1.7M
    Jun 17, 2020 to Mar 5, 2021
  • RAUM · $198M to $208M
    Jun 17, 2020 to Mar 5, 2021
  • Accounts · 210 to 234
    Mar 28, 2019 to Feb 27, 2020
  • HNW clients · 61 to 80
    Mar 28, 2019 to Feb 27, 2020
  • Individual clients · 6 to 10
    Mar 28, 2019 to Feb 27, 2020
  • Discretionary RAUM · $181M to $198M
    Mar 28, 2019 to Feb 27, 2020
  • HNW RAUM · $179M to $196M
    Mar 28, 2019 to Feb 27, 2020
  • Individual RAUM · $1.0M to $480,418
    Mar 28, 2019 to Feb 27, 2020
  • Pension RAUM · $1.3M to $1.6M
    Mar 28, 2019 to Feb 27, 2020
  • RAUM · $181M to $198M
    Mar 28, 2019 to Feb 27, 2020
  • Accounts · 218 to 210
    Mar 16, 2018 to Mar 28, 2019
  • HNW clients · 54 to 61
    Mar 16, 2018 to Mar 28, 2019
  • Discretionary RAUM · $200M to $181M
    Mar 16, 2018 to Mar 28, 2019
Signals
1 dated events
  • M•••••• T•••••• T•••• left R•••••••• W••••• M••••••••• L•• for B•••• S••••••• T•••• W••••• A•••••••• L•• (registered 2024-09-24)
    Jul 16, 2024 · 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.
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