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••••••••• S••••••••• L•••
Latest filing Apr 1, 2026
First filing on the tape May 23, 2012 · 38 filings
SEC status approved since Apr 2, 2018
RAUM
$273M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$265M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$54.5M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$273M as of Apr 1, 2026
Jan 28, 2019$99.1M then
HNW client RAUM$146M as of Apr 1, 2026
Jan 28, 2019$68.7M then
State-registered IARs (5.B.3)5 as of Apr 1, 2026
Jan 28, 20191 then
Employees (5.A)10 as of Apr 1, 2026
Jan 28, 20198 then
Private funds: no history
RAUM +12% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Apr 1, 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
- RAUM per advisor
- $54.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 82derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $271,914derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 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$146M54%
- Individuals$119M44%
- Corporations and businesses$3.9M1.4%
- Pension and profit-sharing plans$3.1M1.1%
- Charitable organizations$839,2330.3%
- Individual clients
- 337reported
- HNW clients
- 75reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 1,003reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R• F•••••Certified Financial Planner | Dublin, Oh | Jul 2, 2012 | 35 y | 2 |
| J•••• A• L••••••Certified Financial Planner, Chartered Financial Consultant | Dublin, Oh | Jul 2, 2012 | 34 y | 3 |
| J•••• S•••••Certified Financial Planner | Dublin, Oh | Jul 3, 2012 | 26 y | 3 |
| N••••• P•••••• Q•••••• | Dublin, Oh | Jul 25, 2016 | 14 y | 0 |
| N••••••• W••••• L••••• | Dublin, Oh | Mar 18, 2026 | 14 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
- J•••• S••••• from O•••• W•••••• I•••Jul 3, 2012 · Other
- J•••••• R• F••••• from S••••• M•••• A•••••••Jul 2, 2012 · Other
- J•••• A• L•••••• from O•••• W•••••• I•••Jul 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• J••••••• R••••• · Chief Compliance Officer/Partnercontrolsince 07/2012 · owns 10% to 25%
- L••••••• J••••• A• · Managing Member/Partnercontrolsince 07/2012 · owns 75% or more
Related persons
Schedule D 7.A
- R• T•• A•• A••••••••• S•••••••• L••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 5 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Feb 19, 2026 to Apr 1, 2026
- State-registered IARs · 4 to 5Feb 19, 2026 to Apr 1, 2026
- Accounts · 974 to 1,003Oct 16, 2025 to Feb 19, 2026
- Corporate clients · 1 to 2Oct 16, 2025 to Feb 19, 2026
- HNW clients · 58 to 75Oct 16, 2025 to Feb 19, 2026
- Individual clients · 351 to 337Oct 16, 2025 to Feb 19, 2026
- Employees · 8 to 10Oct 16, 2025 to Feb 19, 2026
- Discretionary RAUM · $240M to $266MOct 16, 2025 to Feb 19, 2026
- HNW RAUM · $116M to $146MOct 16, 2025 to Feb 19, 2026
- Individual RAUM · $117M to $119MOct 16, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $2.7M to $6.7MOct 16, 2025 to Feb 19, 2026
- Pension RAUM · $2.7M to $3.1MOct 16, 2025 to Feb 19, 2026
- RAUM · $243M to $273MOct 16, 2025 to Feb 19, 2026
- Employees · 9 to 8Jun 13, 2025 to Aug 1, 2025
- Advisory employees · 5 to 4Jun 13, 2025 to Aug 1, 2025
- State-registered IARs · 5 to 4Jun 13, 2025 to Aug 1, 2025
- Financial planning clients · 251-500 to 251-500Mar 11, 2025 to Jun 13, 2025
- Accounts · 943 to 974Feb 9, 2024 to Feb 18, 2025
- Advisory employees · 4 to 5Feb 9, 2024 to Feb 18, 2025
- Corporate clients · 0 to 1Feb 9, 2024 to Feb 18, 2025
- HNW clients · 27 to 58Feb 9, 2024 to Feb 18, 2025
- Pension plan clients · 3 to 4Feb 9, 2024 to Feb 18, 2025
- Employees · 7 to 9Feb 9, 2024 to Feb 18, 2025
- State-registered IARs · 4 to 5Feb 9, 2024 to Feb 18, 2025
- Discretionary RAUM · $203M to $240MFeb 9, 2024 to Feb 18, 2025
- HNW RAUM · $65.3M to $116MFeb 9, 2024 to Feb 18, 2025
- Individual RAUM · $137M to $117MFeb 9, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $2.6M to $2.7MFeb 9, 2024 to Feb 18, 2025
- Pension RAUM · $2.6M to $2.7MFeb 9, 2024 to Feb 18, 2025
- RAUM · $206M to $243MFeb 9, 2024 to Feb 18, 2025
- Accounts · 914 to 943Oct 20, 2023 to Feb 9, 2024
- HNW clients · 18 to 27Oct 20, 2023 to Feb 9, 2024
- Individual clients · 354 to 351Oct 20, 2023 to Feb 9, 2024
- Financial planning clients · 101-250 to 251-500Oct 20, 2023 to Feb 9, 2024
- Discretionary RAUM · $171M to $203MOct 20, 2023 to Feb 9, 2024
- HNW RAUM · $44.7M to $65.3MOct 20, 2023 to Feb 9, 2024
- Individual RAUM · $126M to $137MOct 20, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $2.3M to $2.6MOct 20, 2023 to Feb 9, 2024
- Pension RAUM · $2.3M to $2.6MOct 20, 2023 to Feb 9, 2024
- RAUM · $174M to $206MOct 20, 2023 to Feb 9, 2024
Signals
1 dated events
- R••••••••• S••••••••• L••• filed its initial SEC registration (Form ADV)Mar 1, 2018 · 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 email
- lfarley@retirement-strategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tduvall@retirement-strategies.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-799-8668reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-799-3787reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 614-799-8661reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- RETIREMENT-S•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-799-8668reportedpublic record, Form ADV, Apr 1, 2026
- Contact form
- retirement-strategies.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- retirement-strategies.com/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
- $54.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026