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
W••••• F•••••••• P••••••• G••••• I•••
Latest filing Mar 17, 2026
First filing on the tape Dec 1, 2011 · 29 filings
SEC status approved since Jan 10, 2012
RAUM
$748M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$745M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$125M
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$748M as of Mar 17, 2026
Mar 22, 2012$69.1M then
HNW client RAUM$573M as of Mar 17, 2026
Feb 23, 2018$284M then
State-registered IARs (5.B.3)6 as of Mar 17, 2026
Feb 8, 20136 then
Employees (5.A)11 as of Mar 17, 2026
Feb 8, 20137 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 17, 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
- $125MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 95derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $359,330derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $67.2M, 93 clientsreportedItem 9.A
- 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$573M77%
- Individuals$172M23%
- Charitable organizations$2.6M0.4%
- Individual clients
- 327reported
- HNW clients
- 243reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 2,081reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $67.2M for 93 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A•••• E••••••Certified Financial Planner, Chartered Financial Consultant | Columbus, Oh | Jan 30, 2012 | 23 y | 1 |
| S•••• E••••• R•••••Certified Financial Planner | Columbus, Oh | Jan 30, 2012 | 23 y | 2 |
| K•••••••• E••••• K••••••Certified Financial Planner | Columbus, Oh | Jan 30, 2012 | 20 y | 1 |
| C••••••••• O••• O••••••Certified Financial Planner | Columbus, Oh | Jan 30, 2012 | 18 y | 1 |
| J•••• E••••• F•••••Certified Financial Planner | Columbus, Oh | Jan 30, 2012 | 18 y | 1 |
| C•••••• A••••• K••••••Certified Financial Planner, Chartered Financial Consultant | Naples, Fl | Mar 17, 2025 | 32 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
- S•••• R•••••• B•••••••• to B•••••• R••••• • R••Oct 30, 2012 · Other
Joined, latest
- C•••••• A••••• K•••••• from L•• F•••••••• L••Mar 17, 2025 · Other
- S•••• E••••• R••••• from L•• F•••••••• L••Jan 30, 2012 · Other
- S•••• R•••••• B•••••••• from W••••• F•••••••• P••••••• G•••• I••Jan 30, 2012 · Other
- K•••••••• E••••• K•••••• from W••••• F•••••••• P••••••• G•••• I••Jan 30, 2012 · Other
- J•••• E••••• F••••• from W••••• F•••••••• P••••••• G•••• I••Jan 30, 2012 · Other
- C••••••••• O••• O•••••• from W••••• F•••••••• P••••••• G•••• I••Jan 30, 2012 · Other
- J•••• A•••• E•••••• from W••••• F•••••••• P••••••• G•••• I••Jan 30, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••• J••••• A•••• · Partnercontrolsince 10/2011 · owns 25% to 50%
- F•••••• J••••• E••••• · Partner And Chief Compliance Officercontrolsince 10/2011 · owns 25% to 50%
- K••••••• C••••••• A••••• · Partnercontrolsince 10/2011 · owns 25% to 50%
- O••••••• C••••••••• O••• · Partnercontrolsince 10/2011 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Columbus, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Naples, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 17, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-02-18, no on the filing of 2026-03-17peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,013 to 2,081Feb 18, 2025 to Mar 17, 2026
- HNW clients · 241 to 243Feb 18, 2025 to Mar 17, 2026
- Individual clients · 309 to 327Feb 18, 2025 to Mar 17, 2026
- Assets in custody · $106M to $67.2MFeb 18, 2025 to Mar 17, 2026
- Discretionary RAUM · $575M to $679MFeb 18, 2025 to Mar 17, 2026
- HNW RAUM · $517M to $573MFeb 18, 2025 to Mar 17, 2026
- Individual RAUM · $116M to $172MFeb 18, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $60.6M to $69.0MFeb 18, 2025 to Mar 17, 2026
- RAUM · $635M to $748MFeb 18, 2025 to Mar 17, 2026
- Wrap assets (manager) · 0.0 to unsetFeb 18, 2025 to Mar 17, 2026
- Wrap assets (sponsor) · 0.0 to unsetFeb 18, 2025 to Mar 17, 2026
- Accounts · 1,982 to 2,013Nov 25, 2024 to Feb 18, 2025
- Charity clients · 5.0 to unsetNov 25, 2024 to Feb 18, 2025
- HNW clients · 228 to 241Nov 25, 2024 to Feb 18, 2025
- Individual clients · 322 to 309Nov 25, 2024 to Feb 18, 2025
- Financial planning clients · 251-500 to 251-500Nov 25, 2024 to Feb 18, 2025
- Discretionary RAUM · $524M to $575MNov 25, 2024 to Feb 18, 2025
- HNW RAUM · $454M to $517MNov 25, 2024 to Feb 18, 2025
- Individual RAUM · $118M to $116MNov 25, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $54.6M to $60.6MNov 25, 2024 to Feb 18, 2025
- RAUM · $579M to $635MNov 25, 2024 to Feb 18, 2025
- Accounts · 1,947 to 1,982Sep 22, 2023 to Mar 4, 2024
- Advisory employees · 10 to 11Sep 22, 2023 to Mar 4, 2024
- HNW clients · 225 to 228Sep 22, 2023 to Mar 4, 2024
- Individual clients · 307 to 322Sep 22, 2023 to Mar 4, 2024
- Employees · 10 to 11Sep 22, 2023 to Mar 4, 2024
- Discretionary RAUM · $472M to $524MSep 22, 2023 to Mar 4, 2024
- HNW RAUM · $400M to $454MSep 22, 2023 to Mar 4, 2024
- Individual RAUM · $103M to $118MSep 22, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $35.1M to $54.6MSep 22, 2023 to Mar 4, 2024
- RAUM · $507M to $579MSep 22, 2023 to Mar 4, 2024
- Accounts · 1,908 to 1,947Jan 5, 2023 to Jan 27, 2023
- HNW clients · 220 to 225Jan 5, 2023 to Jan 27, 2023
- Individual clients · 308 to 307Jan 5, 2023 to Jan 27, 2023
- Discretionary RAUM · $488M to $472MJan 5, 2023 to Jan 27, 2023
- HNW RAUM · $468M to $400MJan 5, 2023 to Jan 27, 2023
- Individual RAUM · $119M to $103MJan 5, 2023 to Jan 27, 2023
- Non-discretionary RAUM · $106M to $35.1MJan 5, 2023 to Jan 27, 2023
- RAUM · $593M to $507MJan 5, 2023 to Jan 27, 2023
- Accounts · 1,789 to 1,908Feb 9, 2021 to Feb 8, 2022
Signals
1 dated events
- W••••• F•••••••• P••••••• G••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 1, 2011 · Succession (Item 4) · 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 email
- info@waller.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-457-0911reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-325-8506reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 239-325-8505reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 614-457-7026reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- WALLER.COM/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- WALLER.COM/our-teamreportedpublished 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
- $125Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026