DFX Intelligence

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E•••• W••••• M•••••••••

Independent wealth managerSEC-registered· Gallipolis, Ohiowebsite

Independent wealth manager, based in Gallipolis, Ohio, reporting $122M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2024-02-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $122M
Advisors: 0
RAUM change, 1 year: -1.8%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2024-02-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 Feb 2024, RAUM $124M to $122M (-1.8%) on the Form ADV filed 12 Feb 2024, while advisors on the filing fell 2 to 1.

Every filed figure, and the identifiersCRD 164320 · SEC 801-127743 · 21 filingsShow

CRD 164320SEC 801-127743Legal name S••• E•••• F•••••••• P•••••••• L••First filing on the tape Jan 2, 2021, latest Feb 12, 2024SEC status approved since Jun 29, 2023IAPD

RAUM

$122M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$122M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +2.9% a year over three years · the tape starts Jan 2, 2021

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$122M as of Feb 12, 2024

Apr 1, 2021$112M then

HNW client RAUM: no history

State-registered IARs (5.B.3)1 as of Feb 12, 2024

Apr 1, 20212 then

Employees (5.A)1 as of Feb 12, 2024

Apr 1, 20212 then

Private funds: no history

RAUM -1.8% over the last fiscal year+2.9% a year over threeIARs 2 to 1

Practice profile

derived from the filing of Feb 12, 2024; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $122MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $183,459derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -1.8%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$122M100%

Individual clients: 665reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 665reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

E••••• S••••••• K•••••• · President, Chief Compliance Officer, And Managing Membercontrol
since 04/2012 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 637 to 665
Jun 27, 2023 to Feb 12, 2024
Advisory employees · 2 to 1
Jun 27, 2023 to Feb 12, 2024
Individual clients · 637 to 665
Jun 27, 2023 to Feb 12, 2024
Employees · 2 to 1
Jun 27, 2023 to Feb 12, 2024
State-registered IARs · 2 to 1
Jun 27, 2023 to Feb 12, 2024

Full history · 35 changes

Discretionary RAUM · $127M to $122M
Jun 27, 2023 to Feb 12, 2024
Individual RAUM · $127M to $122M
Jun 27, 2023 to Feb 12, 2024
RAUM · $127M to $122M
Jun 27, 2023 to Feb 12, 2024
Accounts · 623 to 637
Jun 8, 2023 to Jun 23, 2023
Individual clients · 623 to 637
Jun 8, 2023 to Jun 23, 2023
Discretionary RAUM · $124M to $127M
Jun 8, 2023 to Jun 23, 2023
Individual RAUM · $124M to $127M
Jun 8, 2023 to Jun 23, 2023
RAUM · $124M to $127M
Jun 8, 2023 to Jun 23, 2023
Related adviser · false to true
Jun 8, 2023 to Jun 23, 2023
Related adviser · true to false
Mar 27, 2023 to Apr 6, 2023
Advisory employees · 3 to 2
Jan 31, 2023 to Mar 27, 2023
Employees · 3 to 2
Jan 31, 2023 to Mar 27, 2023
Related adviser · false to true
Jan 31, 2023 to Mar 27, 2023
Accounts · 600 to 623
Mar 1, 2022 to Jan 31, 2023
Individual clients · 600 to 623
Mar 1, 2022 to Jan 31, 2023
State-registered IARs · 3 to 2
Mar 1, 2022 to Jan 31, 2023
Discretionary RAUM · $150M to $124M
Mar 1, 2022 to Jan 31, 2023
Individual RAUM · $150M to $124M
Mar 1, 2022 to Jan 31, 2023
RAUM · $150M to $124M
Mar 1, 2022 to Jan 31, 2023
Accounts · 515 to 600
Apr 1, 2021 to Mar 1, 2022
Advisory employees · 2 to 3
Apr 1, 2021 to Mar 1, 2022
Individual clients · 515 to 600
Apr 1, 2021 to Mar 1, 2022
Employees · 2 to 3
Apr 1, 2021 to Mar 1, 2022
State-registered IARs · 2 to 3
Apr 1, 2021 to Mar 1, 2022
Discretionary RAUM · $112M to $150M
Apr 1, 2021 to Mar 1, 2022
Individual RAUM · $112M to $150M
Apr 1, 2021 to Mar 1, 2022
RAUM · $112M to $150M
Apr 1, 2021 to Mar 1, 2022
HQ city · unset to GALLIPOLIS
Jan 2, 2021 to Apr 1, 2021
HQ state · unset to OH
Jan 2, 2021 to Apr 1, 2021
State-registered IARs · 1 to 2
Jan 2, 2021 to Apr 1, 2021

Signals

1 dated events

••• Locked
Jan 2, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 12, 2024
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 12, 2024

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.