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
R•••• O•• F•••••••• G••••
Latest filing Aug 31, 2026
First filing on the tape Oct 15, 2021 · 16 filings
SEC status approved since Nov 29, 2021
RAUM
$416M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$416M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
1
0 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$416M as of Aug 31, 2026
Jan 12, 2022$115M then
HNW client RAUM$294M as of Aug 31, 2026
Jan 12, 2022$35.0M then
State-registered IARs (5.B.3)0 as of Aug 31, 2026
Jan 12, 20221 then
Employees (5.A)1 as of Aug 31, 2026
Jan 12, 20221 then
Private funds: no history
RAUM +58% over the last fiscal year+58% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 31, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 137derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $416M, 412 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)
- 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$294M71%
- Individuals$122M29%
- Individual clients
- 275reported
- HNW clients
- 137reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 412reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $416M for 412 clientsreported
- Compensation
- % of AUM, 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 |
|---|---|---|---|---|
| M•••••• M••••• J•••Certified Financial Planner | Worthington, Oh | Feb 26, 2013 | 22 y | 2 |
| B•••••• S•••••• S••••• | Worthington, Oh | May 6, 2022 | 17 y | 4 |
| G•••• M••••••• B••••••• | Worthington, Oh | Jan 6, 2023 | 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
- G•••••• T• B••••• to P••••••••• B••••••••• F•••••••• P•••••••• I•••Feb 29, 2016 · Other
Joined, latest
- B•••••• S•••••• S••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 6, 2022 · Other
- G•••••• T• B••••• from F•••••••• A••••••• G•••• L•••••Jan 17, 2014 · Other
- M•••••• M••••• J••• from S••••• A••• I••••••••• A•••••• S•••••••• I•••Feb 26, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••• M••••••• M••••• · Managing Member - Ccocontrolsince 12/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Worthington, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lancaster, OH2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 6, 2026RAUM (Item 5.F) moved from $263,000,000 to $366,039,317 (+39.0%) between the annual amendments of 2025-04-17 and 2026-03-06; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
- HNW share shiftChange between filings · filing Mar 6, 2026HNW share of RAUM moved from 38.0% to 71.0% between the annual amendments of 2025-04-17 and 2026-03-06peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 399 to 412Mar 6, 2026 to Aug 31, 2026
- HNW clients · 119 to 137Mar 6, 2026 to Aug 31, 2026
- Individual clients · 280 to 275Mar 6, 2026 to Aug 31, 2026
- Assets in custody · $366M to $416MMar 6, 2026 to Aug 31, 2026
- Discretionary RAUM · $366M to $416MMar 6, 2026 to Aug 31, 2026
- HNW RAUM · $258M to $294MMar 6, 2026 to Aug 31, 2026
- Individual RAUM · $108M to $122MMar 6, 2026 to Aug 31, 2026
- RAUM · $366M to $416MMar 6, 2026 to Aug 31, 2026
- Accounts · 339 to 399Jul 3, 2025 to Feb 19, 2026
- HNW clients · 77 to 119Jul 3, 2025 to Feb 19, 2026
- Individual clients · 262 to 280Jul 3, 2025 to Feb 19, 2026
- Assets in custody · $263M to $366MJul 3, 2025 to Feb 19, 2026
- Discretionary RAUM · $263M to $366MJul 3, 2025 to Feb 19, 2026
- HNW RAUM · $100M to $258MJul 3, 2025 to Feb 19, 2026
- Individual RAUM · $163M to $108MJul 3, 2025 to Feb 19, 2026
- RAUM · $263M to $366MJul 3, 2025 to Feb 19, 2026
- Assets in custody · unset to 263000000.0Apr 17, 2025 to Jul 3, 2025
- Custody of client assets · false to trueApr 17, 2025 to Jul 3, 2025
- Financial planning clients · 0 to 0Apr 17, 2025 to Jul 3, 2025
- Advisory employees · 4 to 0Feb 17, 2025 to Apr 17, 2025
- Employees · 4 to 1Feb 17, 2025 to Apr 17, 2025
- State-registered IARs · 4 to 0Feb 17, 2025 to Apr 17, 2025
- Advisory employees · 3 to 4Jan 8, 2025 to Feb 17, 2025
- Employees · 3 to 4Jan 8, 2025 to Feb 17, 2025
- State-registered IARs · 3 to 4Jan 8, 2025 to Feb 17, 2025
- Accounts · 265 to 339Jul 5, 2024 to Jan 8, 2025
- HNW clients · 40 to 77Jul 5, 2024 to Jan 8, 2025
- Individual clients · 225 to 262Jul 5, 2024 to Jan 8, 2025
- Financial planning clients · 251-500 to 0Jul 5, 2024 to Jan 8, 2025
- Discretionary RAUM · $171M to $263MJul 5, 2024 to Jan 8, 2025
- HNW RAUM · $56.0M to $100MJul 5, 2024 to Jan 8, 2025
- Individual RAUM · $115M to $163MJul 5, 2024 to Jan 8, 2025
- RAUM · $171M to $263MJul 5, 2024 to Jan 8, 2025
- Accounts · 208 to 265Jan 11, 2023 to Jan 10, 2024
- HNW clients · 20 to 40Jan 11, 2023 to Jan 10, 2024
- Individual clients · 195 to 225Jan 11, 2023 to Jan 10, 2024
- Discretionary RAUM · $105M to $171MJan 11, 2023 to Jan 10, 2024
- HNW RAUM · $20.0M to $56.0MJan 11, 2023 to Jan 10, 2024
- Individual RAUM · $85.0M to $115MJan 11, 2023 to Jan 10, 2024
- RAUM · $105M to $171MJan 11, 2023 to Jan 10, 2024
Signals
2 dated events
- R•••• O•• F•••••••• G•••• reported RAUM $366.0M, up 39% from $263.0M (2025-07-03 to 2026-02-19)Feb 19, 2026 · RAUM change · derived
- R•••• O•• F•••••••• G•••• filed its initial SEC registration (Form ADV)Oct 15, 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 phone
- 614-842-6090reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 740-277-7222reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- r•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-842-6090reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- r•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026