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

C••••••••• W••••• A•••••••• L••

Independent wealth managerLouisville, KentuckyCRD 164485SEC 801-76852websiteIAPD
Latest filing Feb 27, 2026
First filing on the tape Jun 22, 2012 · 36 filings
SEC status approved since Jun 28, 2012
RAUM
$326M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$313M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$81.5M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$326M as of Feb 27, 2026
Jan 23, 2015$0 then
HNW client RAUM$301M as of Feb 27, 2026
Mar 12, 2018$105M then
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Mar 18, 20130 then
Employees (5.A)8 as of Feb 27, 2026
Mar 18, 20131 then
Private funds: no history
RAUM +11% over the last fiscal year+16% a year over threeIARs 3 to 4
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
RAUM per advisor
$81.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
65derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$398,092derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-0.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$191M, 270 clientsreportedItem 9.A
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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$301M93%
  • Individuals$12.3M3.8%
  • Corporations and businesses$9.1M2.8%
  • Pension and profit-sharing plans$729,1140.2%
Individual clients
162reported
HNW clients
97reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
819reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$191M for 270 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• C•••••• H•••Louisville, KyJan 23, 201522 y1
A••••• W•••••• A•••••Louisville, KyDec 5, 201930 y1
J••• K•••• W•••••Certified Financial PlannerLouisville, KyMar 25, 202516 y0
J•••••• A•••• W•••Certified Financial PlannerLouisville, KyApr 18, 202512 y2
Advisor movement
0 left, 0 joined in 12 months
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • A•••••• A•••••• W•••••• · Managing Member/Chief Executive Officercontrol
    since 01/2015 · owns 75% or more
  • H•••• M••••••• C•••••• · Chief Operations Officer & Chief Compliance Officer
    since 04/2020 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Louisville, Ky · principal400
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 27, 2026
    portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-11-26, yes on the filing of 2026-02-27
    peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
  • Accounts · 811 to 819
    Nov 26, 2025 to Feb 27, 2026
  • Advisory activities · 6 to 7
    Nov 26, 2025 to Feb 27, 2026
  • Corporate clients · 9 to 7
    Nov 26, 2025 to Feb 27, 2026
  • HNW clients · 123 to 97
    Nov 26, 2025 to Feb 27, 2026
  • Individual clients · 138 to 162
    Nov 26, 2025 to Feb 27, 2026
  • Pension plan clients · 3 to 1
    Nov 26, 2025 to Feb 27, 2026
  • Assets in custody · $100M to $191M
    Nov 26, 2025 to Feb 27, 2026
  • Employees · 6 to 8
    Nov 26, 2025 to Feb 27, 2026
  • Discretionary RAUM · $290M to $325M
    Nov 26, 2025 to Feb 27, 2026
  • HNW RAUM · $265M to $301M
    Nov 26, 2025 to Feb 27, 2026
  • Individual RAUM · $13.8M to $12.3M
    Nov 26, 2025 to Feb 27, 2026
  • Non-discretionary RAUM · $2.8M to $729,114
    Nov 26, 2025 to Feb 27, 2026
  • Pension RAUM · $2.8M to $729,114
    Nov 26, 2025 to Feb 27, 2026
  • RAUM · $293M to $326M
    Nov 26, 2025 to Feb 27, 2026
  • Employees · 7 to 6
    Feb 7, 2025 to Nov 26, 2025
  • State-registered IARs · 3 to 4
    Feb 7, 2025 to Nov 26, 2025
  • Accounts · 782 to 811
    Sep 26, 2024 to Feb 7, 2025
  • HNW clients · 110 to 123
    Sep 26, 2024 to Feb 7, 2025
  • Individual clients · 157 to 138
    Sep 26, 2024 to Feb 7, 2025
  • Pension plan clients · 5 to 3
    Sep 26, 2024 to Feb 7, 2025
  • Assets in custody · $72.3M to $100M
    Sep 26, 2024 to Feb 7, 2025
  • Financial planning clients · 1-10 to 1-10
    Sep 26, 2024 to Feb 7, 2025
  • State-registered IARs · 5 to 3
    Sep 26, 2024 to Feb 7, 2025
  • Discretionary RAUM · $258M to $290M
    Sep 26, 2024 to Feb 7, 2025
  • HNW RAUM · $234M to $265M
    Sep 26, 2024 to Feb 7, 2025
  • Individual RAUM · $13.0M to $13.8M
    Sep 26, 2024 to Feb 7, 2025
  • Non-discretionary RAUM · $2.5M to $2.8M
    Sep 26, 2024 to Feb 7, 2025
  • Pension RAUM · $9.4M to $2.8M
    Sep 26, 2024 to Feb 7, 2025
  • RAUM · $261M to $293M
    Sep 26, 2024 to Feb 7, 2025
  • BD registered reps · 2 to 0
    Feb 16, 2024 to Sep 26, 2024
  • Accounts · 757 to 782
    Sep 6, 2023 to Feb 16, 2024
  • HNW clients · 88 to 110
    Sep 6, 2023 to Feb 16, 2024
  • Individual clients · 170 to 157
    Sep 6, 2023 to Feb 16, 2024
  • Pension plan clients · unset to 5.0
    Sep 6, 2023 to Feb 16, 2024
  • Assets in custody · $64.5M to $72.3M
    Sep 6, 2023 to Feb 16, 2024
  • Financial planning clients · 0 to 1-10
    Sep 6, 2023 to Feb 16, 2024
  • State-registered IARs · 4 to 5
    Sep 6, 2023 to Feb 16, 2024
  • Discretionary RAUM · $206M to $258M
    Sep 6, 2023 to Feb 16, 2024
  • HNW RAUM · $185M to $234M
    Sep 6, 2023 to Feb 16, 2024
  • Individual RAUM · $16.3M to $13.0M
    Sep 6, 2023 to Feb 16, 2024
Signals
4 dated events
  • T••••• T••• left C••••••••• W••••• A•••••••• L•• for D•••••• A•••••••• G•••• • W••••• (registered 2025-05-22)
    Apr 7, 2025 · Advisor changed firm · fact
  • B••••••• A•••••••• left C••••••••• W••••• A•••••••• L•• for R••• F•••••••• P••••••• (registered 2025-01-22)
    Feb 27, 2025 · Advisor changed firm · fact
  • B••••••• J••••• D••••••• left C••••••••• W••••• A•••••••• L•• for T•• G•••••• G••••• I••• (registered 2022-07-12)
    Jun 14, 2022 · Advisor changed firm · fact
  • B••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Jun 22, 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
Business email
info@centerlinewealth.comreportedpublished by the firm, firm site, Sep 15, 2026
Business phone
502-242-1560reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
LINKEDIN.COM/COMPANY/10421975reportedpublic record, Form ADV, Sep 18, 2026
Website
C•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
(502) 242-1561reportedpublic record, Form ADV, Feb 27, 2026
Team page
centerlinewealth.com/meet-our-teamreportedpublished 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
$81.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026