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
B••••• K••••••• W••••• M••••••••• L••
Latest filing Apr 18, 2022
First filing on the tape Aug 22, 2013 · 31 filings
RAUM
$666M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$632M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$666M as of Mar 25, 2022
Feb 12, 2014$232M then
HNW client RAUM$484M as of Mar 25, 2022
Mar 28, 2018$88.4M then
State-registered IARs (5.B.3)4 as of Mar 25, 2022
Feb 12, 20146 then
Employees (5.A)9 as of Mar 25, 2022
Feb 12, 201410 then
Private funds: no history
RAUM +20% over the last fiscal year+19% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Apr 18, 2022; every figure names its basis
- RAUM per advisor
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 277derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $598,506derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- $666MreportedItem 5.I
- Custody
- $52.1M, 18 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$484M73%
- Individuals$148M22%
- Corporations and businesses$33.8M5.1%
- Pension and profit-sharing plans$45,8070.0%
- Individual clients
- 741reported
- HNW clients
- 367reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,112reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $52.1M for 18 clientsreported
- Compensation
- % of AUMreported
- 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
- M••• K•••••• H••••••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 1, 2022 · RIA to affiliated broker-dealer or bank
- M•••••• B••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 1, 2022 · RIA to affiliated broker-dealer or bank
- J••• M•••••• K••••••• to W••••• E••••••••• A••••••• S•••••••• L••Nov 1, 2022 · RIA to affiliated broker-dealer or bank
- B•••••• B••••• H•••••• to H•••••• W••••• M•••••••••Sep 30, 2022 · RIA to a state-registered adviser
- J••••• S•••• H•••• to C•••••••Jan 3, 2017 · Other
Joined, latest
- J••••• S•••• H•••• from L•• F•••••••• L••Sep 6, 2013 · Other
- B•••••• B••••• H•••••• from L•• F•••••••• L••Sep 6, 2013 · Other
- M••• K•••••• H••••••••• from L•• F•••••••• L••Sep 4, 2013 · Other
- M•••••• B••••• from L•• F•••••••• L••Sep 4, 2013 · Other
- J••• M•••••• K••••••• from L•• F•••••••• L••Sep 4, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W••••• E••••••••• A••••••• S•••••••• L••Nov 1, 2022 · Cincinnati, Oh · Firm absorbed
- 2 joined from L•• F•••••••• L••Oct 6, 2020 · Cincinnati, Oh
- 3 joined from L•• F•••••••• L••Oct 28, 2015 · Cincinnati, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• M••••••• S••••••• · Membercontrolsince 01/2017 · owns 50% to 75%
- K•••••••• J•••• M•••••• · Membercontrolsince 01/2017 · owns 50% to 75%
- W••••••• K••••• S••• · Chief Compliance Officersince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,048 to 1,112Nov 3, 2021 to Mar 25, 2022
- Corporate clients · 5.0 to unsetNov 3, 2021 to Mar 25, 2022
- HNW clients · 293 to 367Nov 3, 2021 to Mar 25, 2022
- Individual clients · 749 to 741Nov 3, 2021 to Mar 25, 2022
- Pension plan clients · 1.0 to unsetNov 3, 2021 to Mar 25, 2022
- Assets in custody · $43.3M to $52.1MNov 3, 2021 to Mar 25, 2022
- Employees · 10 to 9Nov 3, 2021 to Mar 25, 2022
- Discretionary RAUM · $552M to $666MNov 3, 2021 to Mar 25, 2022
- HNW RAUM · $378M to $484MNov 3, 2021 to Mar 25, 2022
- Individual RAUM · $148M to $148MNov 3, 2021 to Mar 25, 2022
- Pension RAUM · $44,148 to $45,807Nov 3, 2021 to Mar 25, 2022
- RAUM · $552M to $666MNov 3, 2021 to Mar 25, 2022
- Accounts · 1,501 to 1,048Nov 3, 2020 to Mar 8, 2021
- HNW clients · 244 to 293Nov 3, 2020 to Mar 8, 2021
- Individual clients · 721 to 749Nov 3, 2020 to Mar 8, 2021
- Pension plan clients · unset to 1.0Nov 3, 2020 to Mar 8, 2021
- Assets in custody · $35.7M to $43.3MNov 3, 2020 to Mar 8, 2021
- Discretionary RAUM · $464M to $552MNov 3, 2020 to Mar 8, 2021
- HNW RAUM · $308M to $378MNov 3, 2020 to Mar 8, 2021
- Individual RAUM · $135M to $148MNov 3, 2020 to Mar 8, 2021
- Pension RAUM · $41,868 to $44,148Nov 3, 2020 to Mar 8, 2021
- RAUM · $464M to $552MNov 3, 2020 to Mar 8, 2021
- Accounts · 1,411 to 1,501Mar 20, 2019 to Feb 19, 2020
- Corporate clients · 7 to 5Mar 20, 2019 to Feb 19, 2020
- HNW clients · 247 to 244Mar 20, 2019 to Feb 19, 2020
- Individual clients · 642 to 721Mar 20, 2019 to Feb 19, 2020
- Assets in custody · $32.6M to $35.7MMar 20, 2019 to Feb 19, 2020
- Employees · 9 to 10Mar 20, 2019 to Feb 19, 2020
- Discretionary RAUM · $398M to $464MMar 20, 2019 to Feb 19, 2020
- HNW RAUM · $248M to $308MMar 20, 2019 to Feb 19, 2020
- Individual RAUM · $127M to $135MMar 20, 2019 to Feb 19, 2020
- Pension RAUM · $1.1M to $41,868Mar 20, 2019 to Feb 19, 2020
- RAUM · $398M to $464MMar 20, 2019 to Feb 19, 2020
- Accounts · 1,280 to 1,411Oct 17, 2018 to Mar 20, 2019
- HNW clients · 58 to 247Oct 17, 2018 to Mar 20, 2019
- Individual clients · 789 to 642Oct 17, 2018 to Mar 20, 2019
- Assets in custody · $13.6M to $32.6MOct 17, 2018 to Mar 20, 2019
- Discretionary RAUM · $381M to $398MOct 17, 2018 to Mar 20, 2019
- HNW RAUM · $88.4M to $248MOct 17, 2018 to Mar 20, 2019
- Individual RAUM · $269M to $127MOct 17, 2018 to Mar 20, 2019
Signals
6 dated events
- M•••••• B••••• left B••••• K••••••• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-10-04)Nov 1, 2022 · Advisor changed firm · fact
- J••• M•••••• K••••••• left B••••• K••••••• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-10-04)Nov 1, 2022 · Advisor changed firm · fact
- M••• K•••••• H••••••••• left B••••• K••••••• W••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-10-04)Nov 1, 2022 · Advisor changed firm · fact
- B••••• K••••••• W••••• M••••••••• L••'s advisors moved to W••••• E••••••••• A••••••• S•••••••• L•• (Cincinnati, OH): 3 of 3 registered, on the same dayNov 1, 2022 · Firm absorbed (people side) · derived
- B•••••• B••••• H•••••• left B••••• K••••••• W••••• M••••••••• L•• for H•••••• W••••• M••••••••• (registered 2022-07-20)Sep 30, 2022 · Advisor changed firm · fact
- H•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 22, 2013 · 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