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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Latest filing Feb 19, 2026
First filing on the tape Jul 31, 2012 · 19 filings
SEC status approved since Aug 12, 2012
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$0 as of Feb 19, 2026
Feb 13, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 19, 2026
Feb 4, 20131 then
Employees (5.A)1 as of Feb 19, 2026
Feb 4, 20131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- subscriptionreportedItem 5.E
- Advisory activities
- financial planning, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 5reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• K•••••••Chartered Financial Analyst | Tipp City, Oh | Oct 23, 2012 | 24 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
- S•••• K••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 23, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••••• S•••• · Ceo & Ccocontrolsince 01/2012 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Feb 19, 2026financial planning (Item 5.G.1): no on the filing of 2025-02-13, yes on the filing of 2026-02-19peers: other advisers, under $100M (666)
What changed
consecutive filings, newest first
- Advisory activities · 1 to 2Feb 13, 2025 to Feb 19, 2026
- Individual clients · unset to 5.0Feb 13, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 1-10Feb 13, 2025 to Feb 19, 2026
- Accounts · unset to 0.0Feb 26, 2024 to Feb 13, 2025
- Financial planning clients · 0 to 0Feb 26, 2024 to Feb 13, 2025
- HQ city · unset to Feb 26, 2024 to Feb 13, 2025
- HQ state · unset to Feb 26, 2024 to Feb 13, 2025
- Discretionary RAUM · unset to 0.0Feb 26, 2024 to Feb 13, 2025
- Non-discretionary RAUM · unset to 0.0Feb 26, 2024 to Feb 13, 2025
- RAUM · unset to 0.0Feb 26, 2024 to Feb 13, 2025
- Financial planning clients · 1-10 to 0Feb 9, 2020 to Oct 14, 2020
- Financial planning clients · unset to 1-10Mar 1, 2017 to Jan 15, 2018
- Other offices · unset to 0.0Mar 1, 2017 to Jan 15, 2018
- Advisory employees · unset to 1.0Jul 31, 2012 to Feb 4, 2013
- BD registered reps · unset to 1.0Jul 31, 2012 to Feb 4, 2013
- Employees · unset to 1.0Jul 31, 2012 to Feb 4, 2013
- State-registered IARs · unset to 1.0Jul 31, 2012 to Feb 4, 2013
Signals
1 dated events
- N••••••••• L•• filed its initial SEC registration (Form ADV)Jul 31, 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
- Website
- N•••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 937-269-1116reportedpublic record, Form ADV, Feb 19, 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
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026