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••••••••• • F•••••••• P•••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Jun 8, 2020 · 16 filings
SEC status approved since Jul 14, 2020
RAUM
$319M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$318M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$319M as of Feb 27, 2026
Mar 11, 2021$159M then
HNW client RAUM$81.6M as of Feb 27, 2026
Mar 11, 2021$63.6M then
State-registered IARs (5.B.3)2 as of Feb 27, 2026
Mar 11, 20213 then
Employees (5.A)6 as of Feb 27, 2026
Mar 11, 20216 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 250derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $179,025derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.2%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 consulting, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $303MreportedItem 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
- Individuals$236M74%
- High-net-worth individuals$81.6M26%
- Charitable organizations$891,6070.3%
- Individual clients
- 696reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,780reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• B•••• S••••Certified Financial Planner, Chartered Financial Consultant | Lexington, Ky | Jul 2, 2012 | 27 y | 2 |
| J•••• E••• M•••••• | Lexington, Ky | Oct 21, 2020 | 24 y | 2 |
| K•••• I•• | Lexington, Ky | Jun 15, 2026 | 11 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
- J••••• R•••• S•••• to F•• I••••••••• L••Mar 19, 2021 · RIA to RIA
Joined, latest
- J•••• E••• M•••••• from L•• F•••••••• L••Oct 21, 2020 · Other
- D•••• B•••• S•••• from L•• F•••••••• L••Jul 2, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• D••••• B•••• · Chief Compliance Officer/Managing Partnercontrolsince 01/2012 · owns 50% to 75%
- M••••••• J••••• E••• · Managing Partnersince 01/2012 · owns 50% to 75%
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 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lexington, KY2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Feb 27, 2026private clients per advisor of 250.0 against a peer median of 57.3 (3076 comparable advisers, 98.0th percentile, 5.5 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 1,714 to 1,780Aug 21, 2025 to Feb 27, 2026
- HNW clients · 46 to 54Aug 21, 2025 to Feb 27, 2026
- Individual clients · 688 to 696Aug 21, 2025 to Feb 27, 2026
- Financial planning clients · 26-50 to 51-100Aug 21, 2025 to Feb 27, 2026
- Discretionary RAUM · $278M to $319MAug 21, 2025 to Feb 27, 2026
- HNW RAUM · $64.8M to $81.6MAug 21, 2025 to Feb 27, 2026
- Individual RAUM · $213M to $236MAug 21, 2025 to Feb 27, 2026
- RAUM · $278M to $319MAug 21, 2025 to Feb 27, 2026
- Accounts · 1,696 to 1,714May 31, 2024 to Feb 24, 2025
- HNW clients · 80 to 46May 31, 2024 to Feb 24, 2025
- Individual clients · 649 to 688May 31, 2024 to Feb 24, 2025
- Employees · 5 to 6May 31, 2024 to Feb 24, 2025
- Financial planning clients · 26-50 to 26-50May 31, 2024 to Feb 24, 2025
- Discretionary RAUM · $241M to $278MMay 31, 2024 to Feb 24, 2025
- HNW RAUM · $68.1M to $64.8MMay 31, 2024 to Feb 24, 2025
- Individual RAUM · $173M to $213MMay 31, 2024 to Feb 24, 2025
- RAUM · $241M to $278MMay 31, 2024 to Feb 24, 2025
- Accounts · 686 to 1,696Sep 5, 2023 to Feb 20, 2024
- Advisory activities · 5 to 6Sep 5, 2023 to Feb 20, 2024
- HNW clients · 72 to 80Sep 5, 2023 to Feb 20, 2024
- Individual clients · 613 to 649Sep 5, 2023 to Feb 20, 2024
- Financial planning clients · 1-10 to 26-50Sep 5, 2023 to Feb 20, 2024
- Discretionary RAUM · $198M to $241MSep 5, 2023 to Feb 20, 2024
- HNW RAUM · $85.3M to $68.1MSep 5, 2023 to Feb 20, 2024
- Individual RAUM · $112M to $173MSep 5, 2023 to Feb 20, 2024
- RAUM · $198M to $241MSep 5, 2023 to Feb 20, 2024
- Accounts · 625 to 686Mar 14, 2022 to Mar 24, 2023
- HNW clients · 65 to 72Mar 14, 2022 to Mar 24, 2023
- Individual clients · 559 to 613Mar 14, 2022 to Mar 24, 2023
- Financial planning clients · 26-50 to 1-10Mar 14, 2022 to Mar 24, 2023
- Discretionary RAUM · $223M to $198MMar 14, 2022 to Mar 24, 2023
- HNW RAUM · $91.7M to $85.3MMar 14, 2022 to Mar 24, 2023
- Individual RAUM · $130M to $112MMar 14, 2022 to Mar 24, 2023
- RAUM · $223M to $198MMar 14, 2022 to Mar 24, 2023
- Accounts · 943 to 625Jul 7, 2021 to Mar 14, 2022
- HNW clients · 51 to 65Jul 7, 2021 to Mar 14, 2022
- Individual clients · 404 to 559Jul 7, 2021 to Mar 14, 2022
- Employees · 6 to 5Jul 7, 2021 to Mar 14, 2022
- Financial planning clients · 11-25 to 26-50Jul 7, 2021 to Mar 14, 2022
- Discretionary RAUM · $159M to $223MJul 7, 2021 to Mar 14, 2022
Signals
1 dated events
- I••••••••• • F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Jun 8, 2020 · 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
- j•••••••••@i•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- s•••••@i•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-543-8188reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 859-543-8242reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- i•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 859-543-8188reportedpublic record, Form ADV, Feb 27, 2026
- Contact form
- i•••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- i•••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026