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
Q•••• C••• C•••••• M••••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jul 11, 2012 · 34 filings
SEC status approved since Jul 23, 2012
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$114M as of Mar 16, 2026
Mar 20, 2013$108M then
HNW client RAUM$64.9M as of Mar 16, 2026
Mar 15, 2018$58.5M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Mar 20, 20131 then
Employees (5.A)2 as of Mar 16, 2026
Mar 20, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+7.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 173derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $463,045derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $4.0M, 5 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
- 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)
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$64.9M57%
- Individuals$49.5M43%
- Individual clients
- 130reported
- HNW clients
- 43reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 247reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.0M for 5 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• J••••• S•••••••••Chartered Financial Analyst | Cincinnati, Oh | Jul 23, 2012 | 22 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
- J•••••• J••••• S••••••••• from B••••• • Y•••• A•••••••• I•••Jul 23, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• J••••••• J••••• · Ceo, Cio, & Chief Compliance Officercontrolsince 07/2012 · owns 25% to 50%
- B••••••••• N•••• R••••• · Membersince 07/2012 · owns 5% to 10%
- H•••• C••••••• F•••••••• · Membersince 07/2012 · owns 10% to 25%
- J•••• A•••••• K••••••• · Membersince 07/2012 · owns 10% to 25%
- P••••• M••••••• W•••••• · Membersince 07/2012 · owns 5% to 10%
- W•••••• J••••••• R••••• · Membersince 07/2012 · owns 10% to 25%
- W••••• T•••••• H•••••• · Membersince 07/2012 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): no on the filing of 2025-04-04, yes on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 16, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-04-04, no on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Mar 16, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-04-04, no on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 260 to 247Apr 4, 2025 to Mar 16, 2026
- Advisory activities · 7 to 6Apr 4, 2025 to Mar 16, 2026
- BD registered reps · 1 to 0Apr 4, 2025 to Mar 16, 2026
- HNW clients · 40 to 43Apr 4, 2025 to Mar 16, 2026
- Individual clients · 135 to 130Apr 4, 2025 to Mar 16, 2026
- Assets in custody · unset to 3963431.0Apr 4, 2025 to Mar 16, 2026
- Custody of client assets · false to trueApr 4, 2025 to Mar 16, 2026
- Employees · 3 to 2Apr 4, 2025 to Mar 16, 2026
- Insurance-licensed employees · 1 to 0Apr 4, 2025 to Mar 16, 2026
- Discretionary RAUM · $103M to $114MApr 4, 2025 to Mar 16, 2026
- HNW RAUM · $52.3M to $64.9MApr 4, 2025 to Mar 16, 2026
- Individual RAUM · $50.6M to $49.5MApr 4, 2025 to Mar 16, 2026
- RAUM · $103M to $114MApr 4, 2025 to Mar 16, 2026
- Wrap assets (manager) · 0.0 to unsetApr 4, 2025 to Mar 16, 2026
- Wrap assets (sponsor) · 0.0 to unsetApr 4, 2025 to Mar 16, 2026
- Accounts · 280 to 260Mar 25, 2024 to Apr 4, 2025
- HNW clients · 37 to 40Mar 25, 2024 to Apr 4, 2025
- Individual clients · 152 to 135Mar 25, 2024 to Apr 4, 2025
- Financial planning clients · 1-10 to 1-10Mar 25, 2024 to Apr 4, 2025
- Discretionary RAUM · $99.6M to $103MMar 25, 2024 to Apr 4, 2025
- HNW RAUM · $47.4M to $52.3MMar 25, 2024 to Apr 4, 2025
- Individual RAUM · $52.2M to $50.6MMar 25, 2024 to Apr 4, 2025
- RAUM · $99.6M to $103MMar 25, 2024 to Apr 4, 2025
- Accounts · 296 to 280Apr 13, 2023 to Mar 25, 2024
- HNW clients · 31 to 37Apr 13, 2023 to Mar 25, 2024
- Individual clients · 169 to 152Apr 13, 2023 to Mar 25, 2024
- State-registered IARs · 2 to 1Apr 13, 2023 to Mar 25, 2024
- Discretionary RAUM · $90.2M to $99.6MApr 13, 2023 to Mar 25, 2024
- HNW RAUM · $39.7M to $47.4MApr 13, 2023 to Mar 25, 2024
- Individual RAUM · $53.4M to $52.2MApr 13, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $2.9M to $0Apr 13, 2023 to Mar 25, 2024
- RAUM · $93.1M to $99.6MApr 13, 2023 to Mar 25, 2024
- Accounts · 323 to 296Mar 1, 2022 to Mar 6, 2023
- HNW clients · 38 to 31Mar 1, 2022 to Mar 6, 2023
- Individual clients · 176 to 169Mar 1, 2022 to Mar 6, 2023
- Discretionary RAUM · $107M to $90.2MMar 1, 2022 to Mar 6, 2023
- HNW RAUM · $49.9M to $39.7MMar 1, 2022 to Mar 6, 2023
- Individual RAUM · $59.9M to $53.4MMar 1, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $3.2M to $2.9MMar 1, 2022 to Mar 6, 2023
- RAUM · $110M to $93.1MMar 1, 2022 to Mar 6, 2023
Signals
6 dated events
- Roseann Higgins (Chief Compliance Officer) no longer on Schedule A of Q•••• C••• C•••••• M••••••••• L•• (listed 2023-04-13, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- Ashley Matthew Swendiman (Chief Compliance Officer) no longer on Schedule A of Q•••• C••• C•••••• M••••••••• L•• (listed 2021-05-07, absent 2022-02-18)Feb 18, 2022 · Control person left · inference
- Roseann Higgins (Chief Compliance Officer) appeared on Schedule A of Q•••• C••• C•••••• M••••••••• L••Feb 18, 2022 · Control person joined · fact
- Charles Bryan Haft (Chief Compliance Officer) no longer on Schedule A of Q•••• C••• C•••••• M••••••••• L•• (listed 2019-03-19, absent 2019-08-29)Aug 29, 2019 · Control person left · inference
- Ashley Matthew Swendiman (Chief Compliance Officer) appeared on Schedule A of Q•••• C••• C•••••• M••••••••• L••Aug 29, 2019 · Control person joined · fact
- Q•••• C••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 11, 2012 · 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
- 513-721-6089reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/ohana-wealth-and-life-planningreportedpublic record, Form ADV, Sep 19, 2026
- Website
- queencitycapitalmanagement.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (513) 721-6089reportedpublic record, Form ADV, Mar 16, 2026
- Team page
- queencitycapitalmanagement.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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026