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
I••••• A•••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Apr 30, 2012 · 32 filings
SEC status approved since Apr 23, 2019
RAUM
$212M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
88%
$187M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$70.6M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$212M as of Mar 3, 2026
Mar 10, 2020$122M then
HNW client RAUM$108M as of Mar 3, 2026
Mar 10, 2020$30.2M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Mar 10, 20203 then
Employees (5.A)4 as of Mar 3, 2026
Mar 10, 20204 then
Private funds: no history
RAUM +22% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 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
- $70.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 152derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $458,742derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$108M51%
- Individuals$79.0M37%
- Pension and profit-sharing plans$23.6M11%
- Charitable organizations$1.8M0.9%
- Individual clients
- 407reported
- HNW clients
- 50reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 462reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $187M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• T••• S•••••••• | Lexington, Ky | Feb 1, 2023 | 29 y | 2 |
| J••• F•••••• G•••••• J• | Lexington, Ky | Mar 7, 2023 | 44 y | 2 |
| W•••••• B••••••••• C••••• | Lexington, Ky | Mar 21, 2023 | 35 y | 2 |
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
- W•••••• B••••••••• C••••• from M••••• K••••• • C••••••• L••May 25, 2012 · Other
- J••••• T••• S•••••••• from M••••• K••••• • C••••••• L••May 23, 2012 · Other
- J••• F•••••• G•••••• J• from M••••• K••••• • C••••••• L••May 23, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• W••••••• B••••••••• · Managing Membercontrolsince 05/2012 · owns 25% to 50%
- G••••••• J•••• F•••••• · Managing Membercontrolsince 05/2012 · owns 25% to 50%
- S••••••••• J•••••• T••• · Managing Member And Chief Compliance Officercontrolsince 05/2012 · 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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 3, 2026HNW share of RAUM moved from 35.0% to 51.0% between the annual amendments of 2025-03-06 and 2026-03-03peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 433 to 462Mar 6, 2025 to Mar 3, 2026
- HNW clients · 33 to 50Mar 6, 2025 to Mar 3, 2026
- Individual clients · 393 to 407Mar 6, 2025 to Mar 3, 2026
- Pension plan clients · 6 to 5Mar 6, 2025 to Mar 3, 2026
- Discretionary RAUM · $140M to $188MMar 6, 2025 to Mar 3, 2026
- HNW RAUM · $61.7M to $108MMar 6, 2025 to Mar 3, 2026
- Individual RAUM · $76.7M to $79.0MMar 6, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $34.1M to $23.6MMar 6, 2025 to Mar 3, 2026
- Pension RAUM · $34.1M to $23.6MMar 6, 2025 to Mar 3, 2026
- RAUM · $174M to $212MMar 6, 2025 to Mar 3, 2026
- Wrap assets (manager) · $139M to $187MMar 6, 2025 to Mar 3, 2026
- Accounts · 425 to 433Aug 5, 2024 to Mar 6, 2025
- HNW clients · 31 to 33Aug 5, 2024 to Mar 6, 2025
- Individual clients · 386 to 393Aug 5, 2024 to Mar 6, 2025
- Pension plan clients · 7 to 6Aug 5, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Aug 5, 2024 to Mar 6, 2025
- Discretionary RAUM · $144M to $140MAug 5, 2024 to Mar 6, 2025
- HNW RAUM · $55.5M to $61.7MAug 5, 2024 to Mar 6, 2025
- Individual RAUM · $87.3M to $76.7MAug 5, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $31.7M to $34.1MAug 5, 2024 to Mar 6, 2025
- Pension RAUM · $31.7M to $34.1MAug 5, 2024 to Mar 6, 2025
- RAUM · $176M to $174MAug 5, 2024 to Mar 6, 2025
- Wrap assets (manager) · $125M to $139MAug 5, 2024 to Mar 6, 2025
- Related adviser · true to falseMar 14, 2024 to Aug 5, 2024
- Accounts · 412 to 425Mar 21, 2023 to Mar 14, 2024
- HNW clients · 23 to 31Mar 21, 2023 to Mar 14, 2024
- Individual clients · 382 to 386Mar 21, 2023 to Mar 14, 2024
- Pension plan clients · 6 to 7Mar 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $114M to $144MMar 21, 2023 to Mar 14, 2024
- HNW RAUM · $41.3M to $55.5MMar 21, 2023 to Mar 14, 2024
- Individual RAUM · $71.6M to $87.3MMar 21, 2023 to Mar 14, 2024
- Non-discretionary RAUM · $27.2M to $31.7MMar 21, 2023 to Mar 14, 2024
- Pension RAUM · $27.2M to $31.7MMar 21, 2023 to Mar 14, 2024
- RAUM · $141M to $176MMar 21, 2023 to Mar 14, 2024
- Wrap assets (manager) · $113M to $125MMar 21, 2023 to Mar 14, 2024
- Accounts · 404 to 412Jan 13, 2023 to Mar 21, 2023
- HNW clients · 24 to 23Jan 13, 2023 to Mar 21, 2023
- Individual clients · 373 to 382Jan 13, 2023 to Mar 21, 2023
- Discretionary RAUM · $133M to $114MJan 13, 2023 to Mar 21, 2023
- HNW RAUM · $45.1M to $41.3MJan 13, 2023 to Mar 21, 2023
Signals
1 dated events
- I••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 21, 2019 · 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
- Principal office phone
- 859-425-1222reportedpublic record, Form ADV, Mar 3, 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
- $70.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026