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

C•• • C••• W••••• A•••••••

Independent wealth managerDublin, OhioCRD 173691SEC 801-135926websiteIAPD
Legal name C•• F•••••••• G•••• I••
Latest filing May 27, 2026
First filing on the tape Mar 23, 2026 · 2 filings
SEC status approved since Apr 24, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$120M as of May 27, 2026
Mar 23, 2026$120M then
HNW client RAUM$81.0M as of May 27, 2026
Mar 23, 2026$81.0M then
State-registered IARs (5.B.3)2 as of May 27, 2026
Mar 23, 20262 then
Employees (5.A)4 as of May 27, 2026
Mar 23, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 27, 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
$59.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
112derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$212,341derivedRAUM over accounts (5.F.2.f)
Discretionary
91%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
Custody
$120M, 223 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$81.0M68%
  • Individuals$38.5M32%
Individual clients
160reported
HNW clients
63reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
563reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$120M for 223 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
C••• B••••• C•••Dublin, OhJan 5, 201519 y1
J•••• D••••• C••Dublin, OhJan 5, 201529 y3
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Dublin, Oh · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • custody status changedChange between filings · filing May 27, 2026
        custody of client assets (Item 9.A): no on the filing of 2026-03-23, yes on the filing of 2026-05-27
        peers: independent wealth managers, $100M to $500M (5,676)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Assets in custody · $0 to $120M
        Mar 23, 2026 to May 27, 2026
      • Custody of client assets · false to true
        Mar 23, 2026 to May 27, 2026
      Signals
      No event on the tape.
      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 email
      d•••••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Business email
      t••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      614-764-2366reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      614-764-2544reportedpublished by the firm, firm site, Sep 16, 2026
      Business phone
      888-203-1003reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      w••.p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      614-764-2366reportedpublic record, Form ADV, May 27, 2026
      Contact form
      p•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      p•••••••••.comreportedpublished by the firm, firm site, Sep 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
      $59.8Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026