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
R••••••• • P•••••••• M•••••••••
Legal name M•• F••••••••• I•••
Latest filing Mar 18, 2026
First filing on the tape Apr 29, 2021 · 8 filings
SEC status approved since May 28, 2021
RAUM
$161M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$161M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$53.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$161M as of Mar 18, 2026
Mar 25, 2022$122M then
HNW client RAUM$134M as of Mar 18, 2026
Mar 25, 2022$61.3M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 25, 20223 then
Employees (5.A)3 as of Mar 18, 2026
Mar 25, 20224 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $53.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $620,874derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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 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
- High-net-worth individuals$134M83%
- Individuals$27.2M17%
- Individual clients
- 205reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 259reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•••••• W•••• | Crescent Springs, Ky | Aug 17, 2011 | 16 y | 1 |
| M•••••• C•••••• W•••• | Crescent Springs, Ky | Aug 17, 2011 | 42 y | 3 |
| L•••• D••••••• | Crescent Springs, Ky | Nov 21, 2011 | 29 y | 3 |
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
- L•••• D••••••• from C••••••• • C••• I•••Nov 21, 2011 · Other
- M•••••• C•••••• W•••• from C••••••• • C••• I•••Aug 17, 2011 · Other
- M•••••• L•••••• W•••• from C••••••• • C••• I•••Aug 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••• M••••••• C•••••• · President And Chief Compliance Officercontrolsince 05/1997 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Crescent Springs, Ky · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 263 to 259Mar 27, 2025 to Mar 18, 2026
- HNW clients · 49 to 54Mar 27, 2025 to Mar 18, 2026
- Individual clients · 213 to 205Mar 27, 2025 to Mar 18, 2026
- Employees · 4 to 3Mar 27, 2025 to Mar 18, 2026
- Discretionary RAUM · $131M to $155MMar 27, 2025 to Mar 18, 2026
- HNW RAUM · $110M to $134MMar 27, 2025 to Mar 18, 2026
- Individual RAUM · $24.4M to $27.2MMar 27, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $3.4M to $5.7MMar 27, 2025 to Mar 18, 2026
- RAUM · $135M to $161MMar 27, 2025 to Mar 18, 2026
- Accounts · 233 to 263Mar 27, 2024 to Mar 27, 2025
- HNW clients · 5 to 49Mar 27, 2024 to Mar 27, 2025
- Individual clients · 228 to 213Mar 27, 2024 to Mar 27, 2025
- Commission compensation · true to falseMar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $110M to $131MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $31.6M to $110MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $83.5M to $24.4MMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $5.1M to $3.4MMar 27, 2024 to Mar 27, 2025
- RAUM · $115M to $135MMar 27, 2024 to Mar 27, 2025
- Accounts · 480 to 233Mar 30, 2023 to Mar 27, 2024
- HNW clients · 65 to 5Mar 30, 2023 to Mar 27, 2024
- Individual clients · 164 to 228Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $97.4M to $110MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $96.3M to $31.6MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $9.1M to $83.5MMar 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $8.0M to $5.1MMar 30, 2023 to Mar 27, 2024
- RAUM · $105M to $115MMar 30, 2023 to Mar 27, 2024
- Accounts · 200 to 480Mar 25, 2022 to Mar 30, 2023
- HNW clients · 57 to 65Mar 25, 2022 to Mar 30, 2023
- Individual clients · 142 to 164Mar 25, 2022 to Mar 30, 2023
- Pension plan clients · 1.0 to unsetMar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $114M to $97.4MMar 25, 2022 to Mar 30, 2023
- HNW RAUM · $61.3M to $96.3MMar 25, 2022 to Mar 30, 2023
- Individual RAUM · $56.3M to $9.1MMar 25, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $7.6M to $8.0MMar 25, 2022 to Mar 30, 2023
- Pension RAUM · 4293603.0 to unsetMar 25, 2022 to Mar 30, 2023
- RAUM · $122M to $105MMar 25, 2022 to Mar 30, 2023
- Accounts · 432 to 200Dec 20, 2021 to Mar 25, 2022
- HNW clients · 3 to 57Dec 20, 2021 to Mar 25, 2022
- Individual clients · 278 to 142Dec 20, 2021 to Mar 25, 2022
Signals
1 dated events
- R••••••• • P•••••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 29, 2021 · 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
- 859-578-2200reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/research-and-portfolio-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- RPMadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (859) 578-2200reportedpublic record, Form ADV, Mar 18, 2026
- Contact form
- rpmadvisory.com/contact-usreportedpublished 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
- $53.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026