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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Former SEC-registered adviser
C••••••••• W••••• M••••••••• L••
Latest filing Mar 13, 2025
First filing on the tape Dec 21, 2012 · 23 filings
SEC status approved since Jan 18, 2013
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$186M as of Mar 13, 2025
Mar 5, 2014$117M then
HNW client RAUM$158M as of Mar 13, 2025
Mar 23, 2018$107M then
State-registered IARs (5.B.3)2 as of Mar 13, 2025
Mar 5, 20142 then
Employees (5.A)3 as of Mar 13, 2025
Mar 5, 20142 then
Private funds: no history
RAUM +16% over the last fiscal year+1.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 2025; every figure names its basis
- RAUM per advisor
- $93.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 78derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $333,230derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $38.9M, 59 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$158M85%
- Individuals$27.7M15%
- Charitable organizations$208,6560.1%
- Individual clients
- 85reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 558reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.9M for 59 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- C••••••••• J••• C•••••••• to C••••••••• W•••••• L••Sep 2, 2025 · RIA to RIA
- W•••• K••••••• C•••••••• to C••••••••• W•••••• L••Sep 2, 2025 · RIA to RIA
Joined, latest
- W•••• K••••••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 22, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C••••••••• J••• C•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 18, 2013 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• W•••••• L••Sep 2, 2025 · Westerville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••••••• J••• · Managing Member & Chief Compliance Officercontrolsince 09/2012 · owns 50% to 75%
- C••••••••• W••••• K••••••• · Managing Membercontrolsince 09/2012 · 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 |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 548 to 558Sep 25, 2024 to Mar 13, 2025
- HNW clients · 75 to 71Sep 25, 2024 to Mar 13, 2025
- Individual clients · 83 to 85Sep 25, 2024 to Mar 13, 2025
- Assets in custody · $31.4M to $38.9MSep 25, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Sep 25, 2024 to Mar 13, 2025
- Discretionary RAUM · $53.8M to $186MSep 25, 2024 to Mar 13, 2025
- HNW RAUM · $137M to $158MSep 25, 2024 to Mar 13, 2025
- Individual RAUM · $21.7M to $27.7MSep 25, 2024 to Mar 13, 2025
- Non-discretionary RAUM · $106M to $221,355Sep 25, 2024 to Mar 13, 2025
- Pension RAUM · 1329715.0 to unsetSep 25, 2024 to Mar 13, 2025
- RAUM · $160M to $186MSep 25, 2024 to Mar 13, 2025
- Accounts · 556 to 548Dec 20, 2023 to Mar 13, 2024
- HNW clients · 69 to 75Dec 20, 2023 to Mar 13, 2024
- Individual clients · 86 to 83Dec 20, 2023 to Mar 13, 2024
- Assets in custody · $61.5M to $31.4MDec 20, 2023 to Mar 13, 2024
- Discretionary RAUM · $50.2M to $53.8MDec 20, 2023 to Mar 13, 2024
- HNW RAUM · $141M to $137MDec 20, 2023 to Mar 13, 2024
- Individual RAUM · $14.0M to $21.7MDec 20, 2023 to Mar 13, 2024
- Non-discretionary RAUM · $106M to $106MDec 20, 2023 to Mar 13, 2024
- Pension RAUM · $956,858 to $1.3MDec 20, 2023 to Mar 13, 2024
- RAUM · $156M to $160MDec 20, 2023 to Mar 13, 2024
- Accounts · 558 to 556Dec 22, 2022 to Mar 29, 2023
- Advisory activities · 4 to 3Dec 22, 2022 to Mar 29, 2023
- Individual clients · 90 to 86Dec 22, 2022 to Mar 29, 2023
- Pension plan clients · 2.0 to unsetDec 22, 2022 to Mar 29, 2023
- Assets in custody · $19.1M to $61.5MDec 22, 2022 to Mar 29, 2023
- Employees · 2 to 3Dec 22, 2022 to Mar 29, 2023
- Financial planning clients · 1-10 to 101-250Dec 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $96.4M to $50.2MDec 22, 2022 to Mar 29, 2023
- HNW RAUM · $150M to $141MDec 22, 2022 to Mar 29, 2023
- Individual RAUM · $27.8M to $14.0MDec 22, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $82.1M to $106MDec 22, 2022 to Mar 29, 2023
- Pension RAUM · $856,000 to $956,858Dec 22, 2022 to Mar 29, 2023
- RAUM · $178M to $156MDec 22, 2022 to Mar 29, 2023
- Accounts · 548 to 558Mar 17, 2021 to Mar 25, 2022
- HNW clients · 66 to 69Mar 17, 2021 to Mar 25, 2022
- Individual clients · 92 to 90Mar 17, 2021 to Mar 25, 2022
- Pension plan clients · unset to 2.0Mar 17, 2021 to Mar 25, 2022
- Assets in custody · $11.0M to $19.1MMar 17, 2021 to Mar 25, 2022
- Discretionary RAUM · $87.2M to $96.4MMar 17, 2021 to Mar 25, 2022
Signals
5 dated events
- C••••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $185.9M)Dec 20, 2025 · Left the SEC roster · derived
- C••••••••• J••• C•••••••• left C••••••••• W••••• M••••••••• L•• for C••••••••• W•••••• L•• (registered 2025-07-03)Sep 2, 2025 · Advisor changed firm · fact
- W•••• K••••••• C•••••••• left C••••••••• W••••• M••••••••• L•• for C••••••••• W•••••• L•• (registered 2025-07-03)Sep 2, 2025 · Advisor changed firm · fact
- 2 advisors left C••••••••• W••••• M••••••••• L•• (Westerville, OH) for C••••••••• W•••••• L•• on the same daySep 2, 2025 · Team lift-out · derived
- C••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 21, 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.
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
- Former SEC-registered adviserderiveda 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