DFX Intelligence
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T•••••••• F••••••••
Independent wealth manager, based in Troy, Ohio, reporting $170M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $170M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +11%
- Private clients
- 76% of RAUM, $130M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 170738 · SEC 801-121769 · 12 filingsShowHide
CRD 170738SEC 801-121769Legal name O• F••••••••• L••First filing on the tape Jun 16, 2021, latest Mar 16, 2026SEC status approved since Jul 29, 2021IAPD
RAUM
$170M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
76%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$170M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$170M as of Mar 16, 2026
Feb 24, 2022$141M then
HNW client RAUM$112M as of Mar 16, 2026
Feb 24, 2022$63.4M then
State-registered IARs (5.B.3)1 as of Mar 16, 2026
Feb 24, 20221 then
Employees (5.A)2 as of Mar 16, 2026
Feb 24, 20222 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 16, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $170MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $707,445derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$112M66%
- Charitable organizations$37.5M22%
- Individuals$17.8M10%
- Corporations and businesses$2.7M1.6%
- Individual clients
- 82reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- n/areported
- Accounts
- 240reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.76 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J••••• K••••• | Troy, Oh | Jun 16, 2014 | 12 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• T•••••• J••••• · Principal And Chief Compliance Officercontrolsince 05/2010 · owns 75% or more
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 · 223 to 240Mar 13, 2025 to Mar 16, 2026
- HNW clients · 24 to 31Mar 13, 2025 to Mar 16, 2026
- Individual clients · 72 to 82Mar 13, 2025 to Mar 16, 2026
- Discretionary RAUM · $153M to $170MMar 13, 2025 to Mar 16, 2026
- HNW RAUM · $84.7M to $112MMar 13, 2025 to Mar 16, 2026
- Individual RAUM · $26.8M to $17.8MMar 13, 2025 to Mar 16, 2026
- RAUM · $153M to $170MMar 13, 2025 to Mar 16, 2026
- Accounts · 216 to 223Jan 8, 2025 to Mar 13, 2025
- HNW clients · 20 to 24Jan 8, 2025 to Mar 13, 2025
- Individual clients · 78 to 72Jan 8, 2025 to Mar 13, 2025
- Financial planning clients · unset to Jan 8, 2025 to Mar 13, 2025
- Discretionary RAUM · $143M to $153MJan 8, 2025 to Mar 13, 2025
- HNW RAUM · $71.2M to $84.7MJan 8, 2025 to Mar 13, 2025
- Individual RAUM · $67.3M to $26.8MJan 8, 2025 to Mar 13, 2025
- RAUM · $143M to $153MJan 8, 2025 to Mar 13, 2025
- Accounts · 208 to 216Apr 27, 2023 to Mar 14, 2024
- HNW clients · 24 to 20Apr 27, 2023 to Mar 14, 2024
- Individual clients · 86 to 78Apr 27, 2023 to Mar 14, 2024
- Discretionary RAUM · $120M to $143MApr 27, 2023 to Mar 14, 2024
- HNW RAUM · $74.9M to $71.2MApr 27, 2023 to Mar 14, 2024
- Individual RAUM · $17.6M to $67.3MApr 27, 2023 to Mar 14, 2024
- RAUM · $120M to $143MApr 27, 2023 to Mar 14, 2024
- Advisory activities · 1 to 2Feb 24, 2022 to Mar 18, 2023
- Charity clients · 3.0 to unsetFeb 24, 2022 to Mar 18, 2023
- Corporate clients · 1.0 to unsetFeb 24, 2022 to Mar 18, 2023
- HNW clients · 13 to 24Feb 24, 2022 to Mar 18, 2023
- Individual clients · 97 to 86Feb 24, 2022 to Mar 18, 2023
- Discretionary RAUM · $141M to $120MFeb 24, 2022 to Mar 18, 2023
- HNW RAUM · $63.4M to $74.9MFeb 24, 2022 to Mar 18, 2023
- Individual RAUM · $48.7M to $17.6MFeb 24, 2022 to Mar 18, 2023
- RAUM · $141M to $120MFeb 24, 2022 to Mar 18, 2023
- Accounts · 190 to 208Oct 18, 2021 to Feb 24, 2022
- Corporate clients · 2 to 1Oct 18, 2021 to Feb 24, 2022
- HNW clients · 14 to 13Oct 18, 2021 to Feb 24, 2022
- Individual clients · 87 to 97Oct 18, 2021 to Feb 24, 2022
- Discretionary RAUM · $115M to $141MOct 18, 2021 to Feb 24, 2022
- HNW RAUM · $55.4M to $63.4MOct 18, 2021 to Feb 24, 2022
- Individual RAUM · $38.7M to $48.7MOct 18, 2021 to Feb 24, 2022
- RAUM · $115M to $141MOct 18, 2021 to Feb 24, 2022
Signals
1 dated events
- ••• LockedJun 16, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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
- $170Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026