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.

SEC-registered adviser

Rik Saylor Financial, Inc.

Independent wealth managerFairfield, OhioCRD 165484SEC 801-121784websiteIAPD
Latest filing Mar 25, 2026
First filing on the tape Jun 17, 2021 · 12 filings
SEC status approved since Jul 16, 2021
RAUM
$199M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$195M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$66.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$199M as of Mar 25, 2026
Jan 7, 2022$124M then
HNW client RAUM$122M as of Mar 25, 2026
Jan 7, 2022$49.0M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Jan 7, 20222 then
Employees (5.A)5 as of Mar 25, 2026
Jan 7, 20226 then
Private funds: no history
RAUM n/a over the last fiscal year+17% a year over three
Practice profile
derived from the filing of Mar 25, 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
RAUM per advisor
$66.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$190,222derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$46.4M, 284 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$122M61%
  • Individuals$72.5M36%
  • Corporations and businesses$4.2M2.1%
Individual clients
280reported
HNW clients
96reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,047reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$46.4M for 284 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 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
NameBranchHere sinceIn industryPrior firms
Eric Thomas HambergCertified Financial PlannerCincinnati, Oh Feb 22, 201318 y3
Rik James Henrik SaylorCincinnati, Oh Feb 22, 201329 y3
Nathanial Lee ParkerFairfield, Oh May 1, 202318 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • James Henrik Rik Saylor · Chief Compliance Officer, Chief Executive Officercontrol
      since 09/1998 · owns 75% or more
    • Thomas Eric Hamberg · Vice President
      since 12/2021 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Fairfield, Oh · principal300
    Cincinnati, Oh200
    Offices
    Schedule D 1.F, the 25 largest
    • Cincinnati, OH2 employees
    What changed
    consecutive filings, newest first
    • Corporate clients · 2 to 1
      May 1, 2025 to Mar 25, 2026
    • HNW clients · 102 to 96
      May 1, 2025 to Mar 25, 2026
    • Individual clients · 283 to 280
      May 1, 2025 to Mar 25, 2026
    • Assets in custody · $37.9M to $46.4M
      May 1, 2025 to Mar 25, 2026
    • Employees · 4 to 5
      May 1, 2025 to Mar 25, 2026
    • Financial planning clients · 0 to 1-10
      May 1, 2025 to Mar 25, 2026
    • Discretionary RAUM · $179M to $199M
      May 1, 2025 to Mar 25, 2026
    • HNW RAUM · $112M to $122M
      May 1, 2025 to Mar 25, 2026
    • Individual RAUM · $63.2M to $72.5M
      May 1, 2025 to Mar 25, 2026
    • RAUM · $179M to $199M
      May 1, 2025 to Mar 25, 2026
    • Accounts · 748 to 1,047
      Nov 4, 2024 to May 1, 2025
    • Corporate clients · 0 to 2
      Nov 4, 2024 to May 1, 2025
    • HNW clients · 100 to 102
      Nov 4, 2024 to May 1, 2025
    • Individual clients · 237 to 283
      Nov 4, 2024 to May 1, 2025
    • Assets in custody · $36.2M to $37.9M
      Nov 4, 2024 to May 1, 2025
    • Employees · 5 to 4
      Nov 4, 2024 to May 1, 2025
    • Financial planning clients · 1-10 to 0
      Nov 4, 2024 to May 1, 2025
    • Other offices · 1 to 2
      Nov 4, 2024 to May 1, 2025
    • Discretionary RAUM · $143M to $179M
      Nov 4, 2024 to May 1, 2025
    • HNW RAUM · $93.5M to $112M
      Nov 4, 2024 to May 1, 2025
    • Individual RAUM · $46.4M to $63.2M
      Nov 4, 2024 to May 1, 2025
    • RAUM · $143M to $179M
      Nov 4, 2024 to May 1, 2025
    • Accounts · 1,097 to 748
      Dec 13, 2023 to Mar 28, 2024
    • Charity clients · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • Corporate clients · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • HNW clients · 64 to 100
      Dec 13, 2023 to Mar 28, 2024
    • Individual clients · 336 to 237
      Dec 13, 2023 to Mar 28, 2024
    • Pension plan clients · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • Pooled vehicle clients · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • Assets in custody · $32.9M to $36.2M
      Dec 13, 2023 to Mar 28, 2024
    • Financial planning clients · 0 to 1-10
      Dec 13, 2023 to Mar 28, 2024
    • State-registered IARs · 2 to 3
      Dec 13, 2023 to Mar 28, 2024
    • Other offices · 2 to 1
      Dec 13, 2023 to Mar 28, 2024
    • Discretionary RAUM · $124M to $143M
      Dec 13, 2023 to Mar 28, 2024
    • HNW RAUM · $55.0M to $93.5M
      Dec 13, 2023 to Mar 28, 2024
    • Individual RAUM · $67.3M to $46.4M
      Dec 13, 2023 to Mar 28, 2024
    • Pension RAUM · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • Pooled vehicle RAUM · unset to 0.0
      Dec 13, 2023 to Mar 28, 2024
    • RAUM · $124M to $143M
      Dec 13, 2023 to Mar 28, 2024
    • Accounts · 836 to 1,097
      Oct 13, 2022 to Mar 31, 2023
    Signals
    3 dated events
    • Matthew Ryan Foley (Chief Compliance Officer) no longer on Schedule A of Rik Saylor Financial, Inc. (listed 2022-01-07, absent 2022-04-07)
      Apr 7, 2022 · Control person left · inference
    • Matthew Ryan Foley (Chief Compliance Officer) appeared on Schedule A of Rik Saylor Financial, Inc.
      Jul 28, 2021 · Control person joined · fact
    • Rik Saylor Financial, Inc. filed its initial SEC registration (Form ADV)
      Jun 17, 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 email
    nate@riksaylorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    rik@riksaylorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business email
    robin@riksaylorfinancial.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    513-829-8863reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    513-829-8888reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    RIKSAYLORFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    (513) 829-8888reportedpublic record, Form ADV, Mar 25, 2026
    Team page
    riksaylorfinancial.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
    $66.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026