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
A••••••••• W••••• M••••••••• L••
Latest filing Mar 22, 2025
First filing on the tape Apr 25, 2014 · 11 filings
SEC status approved since Mar 11, 2022
RAUM
$159M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
91%
$145M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$159M as of Mar 22, 2025
Feb 8, 2022$114M then
HNW client RAUM$91.1M as of Mar 22, 2025
Feb 8, 2022$77.8M then
State-registered IARs (5.B.3)3 as of Mar 22, 2025
Feb 8, 20223 then
Employees (5.A)5 as of Mar 22, 2025
Feb 8, 20225 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 22, 2025; every figure names its basis
- RAUM per advisor
- $53.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $287,362derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$91.1M57%
- Individuals$53.8M34%
- Charitable organizations$14.0M8.8%
- Individual clients
- 153reported
- HNW clients
- 43reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 553reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- B•••••• C••• F••••• to M•• A•••••••• L••Dec 26, 2025 · RIA to RIA
- W•••••• S•••• C•••• to M•• A•••••••• L••Dec 26, 2025 · RIA to RIA
- S••••• J••••• G••••••• to M•• A•••••••• L••Dec 26, 2025 · RIA to RIA
Joined, latest
- B•••••• C••• F••••• from D• S•••• N•••• I•••Sep 24, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for M•• A•••••••• L••Dec 26, 2025 · Louisville, Ky · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• W••••••• S•••• · Managing Member & Chief Compliance Officercontrolsince 05/2014 · owns 25% to 50%
- G•••••••• S•••••• J••••• · Managing Membercontrolsince 05/2014 · 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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 0 | 0 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 519 to 553Sep 12, 2024 to Mar 22, 2025
- Charity clients · 3.0 to unsetSep 12, 2024 to Mar 22, 2025
- HNW clients · 39 to 43Sep 12, 2024 to Mar 22, 2025
- Individual clients · 150 to 153Sep 12, 2024 to Mar 22, 2025
- Financial planning clients · 1-10 to 1-10Sep 12, 2024 to Mar 22, 2025
- Discretionary RAUM · $126M to $150MSep 12, 2024 to Mar 22, 2025
- HNW RAUM · $76.0M to $91.1MSep 12, 2024 to Mar 22, 2025
- Individual RAUM · $45.7M to $53.8MSep 12, 2024 to Mar 22, 2025
- Non-discretionary RAUM · $8.4M to $9.2MSep 12, 2024 to Mar 22, 2025
- RAUM · $135M to $159MSep 12, 2024 to Mar 22, 2025
- Accounts · 456 to 519Mar 4, 2023 to Mar 5, 2024
- HNW clients · 36 to 39Mar 4, 2023 to Mar 5, 2024
- Individual clients · 131 to 150Mar 4, 2023 to Mar 5, 2024
- Discretionary RAUM · $104M to $126MMar 4, 2023 to Mar 5, 2024
- HNW RAUM · $68.5M to $76.0MMar 4, 2023 to Mar 5, 2024
- Individual RAUM · $37.6M to $45.7MMar 4, 2023 to Mar 5, 2024
- Non-discretionary RAUM · $8.2M to $8.4MMar 4, 2023 to Mar 5, 2024
- RAUM · $112M to $135MMar 4, 2023 to Mar 5, 2024
- Accounts · 369 to 456Jul 5, 2022 to Mar 4, 2023
- HNW clients · 34 to 36Jul 5, 2022 to Mar 4, 2023
- Individual clients · 105 to 131Jul 5, 2022 to Mar 4, 2023
- Discretionary RAUM · $105M to $104MJul 5, 2022 to Mar 4, 2023
- HNW RAUM · $77.8M to $68.5MJul 5, 2022 to Mar 4, 2023
- Individual RAUM · $30.2M to $37.6MJul 5, 2022 to Mar 4, 2023
- Non-discretionary RAUM · $9.1M to $8.2MJul 5, 2022 to Mar 4, 2023
- RAUM · $114M to $112MJul 5, 2022 to Mar 4, 2023
- Accounts · 28 to 369Aug 13, 2014 to Feb 8, 2022
- Advisory employees · 2 to 3Aug 13, 2014 to Feb 8, 2022
- Charity clients · unset to 3.0Aug 13, 2014 to Feb 8, 2022
- Corporate clients · unset to 0.0Aug 13, 2014 to Feb 8, 2022
- HNW clients · unset to 34.0Aug 13, 2014 to Feb 8, 2022
- Individual clients · unset to 105.0Aug 13, 2014 to Feb 8, 2022
- Pension plan clients · unset to 0.0Aug 13, 2014 to Feb 8, 2022
- Pooled vehicle clients · unset to 0.0Aug 13, 2014 to Feb 8, 2022
- Employees · 2 to 5Aug 13, 2014 to Feb 8, 2022
- Financial planning clients · 0 to 1-10Aug 13, 2014 to Feb 8, 2022
- State-registered IARs · 2 to 3Aug 13, 2014 to Feb 8, 2022
- Other offices · unset to 0.0Aug 13, 2014 to Feb 8, 2022
- Discretionary RAUM · $7.7M to $105MAug 13, 2014 to Feb 8, 2022
- HNW RAUM · unset to 77800000.0Aug 13, 2014 to Feb 8, 2022
Signals
6 dated events
- A••••••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $158.9M)Jan 2, 2026 · Left the SEC roster · derived
- W•••••• S•••• C•••• left A••••••••• W••••• M••••••••• L•• for M•• A•••••••• L•• (registered 2026-01-01)Dec 26, 2025 · Advisor changed firm · fact
- B•••••• C••• F••••• left A••••••••• W••••• M••••••••• L•• for M•• A•••••••• L•• (registered 2026-01-01)Dec 26, 2025 · Advisor changed firm · fact
- A••••••••• W••••• M••••••••• L••'s advisors moved to M•• A•••••••• L•• (Louisville, KY): 3 of 3 registered, on the same dayDec 26, 2025 · Firm absorbed (people side) · derived
- S••••• J••••• G••••••• left A••••••••• W••••• M••••••••• L•• for M•• A•••••••• L•• (registered 2026-01-01)Dec 26, 2025 · Advisor changed firm · fact
- A••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 25, 2014 · 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