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.
SEC-registered adviser
National Wealth Management Group, LLC
Latest filing Sep 9, 2026
First filing on the tape Feb 10, 2015 · 62 filings
SEC status approved since Feb 19, 2015
RAUM
$535M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$529M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$31.5M
derived; firm RAUM over IAPD count
Employees
18
18 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$535M as of Apr 2, 2026
Mar 29, 2016$54.8M then
HNW client RAUM$215M as of Apr 2, 2026
Mar 30, 2018$37.6M then
State-registered IARs (5.B.3)18 as of Apr 2, 2026
Mar 29, 201613 then
Employees (5.A)18 as of Apr 2, 2026
Mar 29, 201613 then
Private funds: no history
RAUM n/a over the last fiscal year+32% a year over three
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
- RAUM per advisor
- $31.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $195,164derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 2.8derived6 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $83.1MreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$314M59%
- High-net-worth individuals$215M40%
- Corporations and businesses$4.4M0.8%
- Charitable organizations$1.2M0.2%
- Other investment advisers$109,1210.0%
- Individual clients
- 1,174reported
- HNW clients
- 134reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,741reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=16.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Vivienne Karin Schleu | Coconut Creek, Fl | Jun 29, 2015 | 30 y | 2 |
| Katherine Jo Petrelli | Palm Coast, Fl | Jan 13, 2016 | 25 y | 2 |
| Donald Michael Bateman | Cincinnati, Oh | Jan 25, 2016 | 24 y | 4 |
| Benjamin James Jones | Coconut Creek, Fl | Mar 24, 2016 | 20 y | 7 |
| Gerald Martin Pepper | Cincinnati, Oh | Nov 17, 2017 | 40 y | 1 |
| James K Lewis | Cincinnati, Oh | Jan 5, 2022 | 31 y | 7 |
| Angela M. Howard | Centerburg, Oh | Jan 5, 2022 | 18 y | 1 |
| Richard L Moss | Indianapolis, In | Jan 6, 2022 | 25 y | 3 |
| Lisa J Gerardi | Cincinnati, Oh | Jan 7, 2022 | 32 y | 4 |
| Noah Paul Henson | Cincinnati, Oh | Jan 7, 2022 | 13 y | 2 |
| Brent Michael GarganoCertified Financial Planner | Cincinnati, Oh | Aug 5, 2022 | 13 y | 3 |
| Jon Patrick Ewing | Cincinnati, Oh | Dec 8, 2022 | 27 y | 2 |
| Mark Anthony Gargano | Brentwood, Tn | May 22, 2025 | 18 y | 3 |
| Matthew E HeitmanCertified Financial Planner, Chartered Financial Consultant | Cincinnati, Oh | Jul 31, 2025 | 13 y | 5 |
| Philip Michael Valeriano | Las Vegas, Nv | Sep 22, 2025 | 29 y | 1 |
| Vincent Valeriano | Las Vegas, Nv | Sep 22, 2025 | 11 y | 1 |
| Ronna De La Cruz Lao | Cincinnati, Oh | May 28, 2026 | 24 y | 1 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.9% of current headcount1 left over 36 months
Left, latest
- Claire Delaney Hart to Great Valley Advisor Group, LLCFeb 9, 2026 · RIA to RIA
- Christopher A Carbone to Bellwether Investment Services LLCSep 8, 2020 · RIA to a state-registered adviser
- Kaleb Baker to Pruco Securities, LLCMar 15, 2017 · Other
- Jason Edward Moore to Raymond James Financial Services Advisors, IncOct 24, 2016 · Other
Joined, latest
- Ronna De La Cruz Lao from Raymond James Financial Services Advisors, IncMay 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- Vincent Valeriano from Wells Fargo AdvisorsSep 22, 2025 · Wirehouse to independent RIA
- Philip Michael Valeriano from Wells Fargo AdvisorsSep 22, 2025 · Wirehouse to independent RIA
- Matthew E Heitman from Fi3 Financial Advisors, LLCJul 31, 2025 · RIA to RIA
- Mark Anthony Gargano from DynamicMay 22, 2025 · RIA to RIA
- Jon Patrick Ewing from MML Investors Services, LLCDec 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- Brent Michael Gargano from UBS Financial Services Inc.Aug 5, 2022 · Wirehouse to independent RIA
- Noah Paul Henson from MML Investors Services, LLCAug 12, 2021 · Affiliated broker-dealer or bank to independent RIA
- Richard L Moss from Pnc Wealth ManagementSep 3, 2020 · Other
- Claire Delaney Hart from Cuna Brokerage Services, Inc.Aug 12, 2019 · RIA to RIA
- James K Lewis from LPL Financial LLCMar 29, 2019 · RIA to RIA
- Kaleb Baker from LPL Financial LLCOct 20, 2016 · Other
- Lisa J Gerardi from Ameriprise Financial Services, LLCMar 23, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
- Katherine Jo Petrelli from Investment Advisors International, Inc.Jan 13, 2016 · Other
- Donald Michael Bateman from Dawson James Asset Management, Inc.Jan 5, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Wells Fargo AdvisorsSep 18, 2025 · Syracuse, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Gary Mathews · Managing Director / Chief Compliance Officer/ Membercontrolsince 02/2015 · owns 50% to 75%
- Karin Vivienne Schleu · Managing Director / Chief Financial Officer / Membercontrolsince 02/2015 · owns 25% to 50%
- James Benjamin Jones · Managing Director And Senior Compliance Officersince 01/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
- Alpina Tax And Accounting Services, LLCinsurancey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 15 | 1 | 1 | ||
| Coconut Creek, Fl | 4 | 1 | 0 | ||
| Las Vegas, Nv | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boca Raton, FL6 employees
- Coconut Creek, FL6 employees
- Gahanna, OH1 employees
- Palm Coast, FL1 employees
- , 1 employees
- Florence, KY1 employees
- Centerville, OH1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Apr 2, 2026 to Sep 9, 2026
- Succession · false to unsetApr 2, 2026 to Sep 9, 2026
- Assets in custody · unset to 935150.0Mar 30, 2026 to Apr 2, 2026
- Accounts · 1,066 to 2,741Sep 22, 2025 to Mar 30, 2026
- Advisory employees · 17 to 18Sep 22, 2025 to Mar 30, 2026
- Corporate clients · 7 to 6Sep 22, 2025 to Mar 30, 2026
- HNW clients · 98 to 134Sep 22, 2025 to Mar 30, 2026
- Individual clients · 960 to 1,174Sep 22, 2025 to Mar 30, 2026
- Employees · 19 to 18Sep 22, 2025 to Mar 30, 2026
- State-registered IARs · 17 to 18Sep 22, 2025 to Mar 30, 2026
- Other offices · 7 to 5Sep 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $316M to $517MSep 22, 2025 to Mar 30, 2026
- HNW RAUM · $114M to $215MSep 22, 2025 to Mar 30, 2026
- Individual RAUM · $205M to $314MSep 22, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $9.8M to $18.2MSep 22, 2025 to Mar 30, 2026
- RAUM · $326M to $535MSep 22, 2025 to Mar 30, 2026
- Wrap assets (sponsor) · $4.0M to $0Sep 22, 2025 to Mar 30, 2026
- Accounts · 2,242 to 1,066Mar 29, 2024 to May 1, 2025
- Corporate clients · 9 to 7Mar 29, 2024 to May 1, 2025
- HNW clients · 99 to 98Mar 29, 2024 to May 1, 2025
- Individual clients · 1,070 to 960Mar 29, 2024 to May 1, 2025
- Financial planning clients · 51-100 to 51-100Mar 29, 2024 to May 1, 2025
- Discretionary RAUM · $295M to $316MMar 29, 2024 to May 1, 2025
- HNW RAUM · $107M to $114MMar 29, 2024 to May 1, 2025
- Individual RAUM · $182M to $205MMar 29, 2024 to May 1, 2025
- Non-discretionary RAUM · $1.5M to $9.8MMar 29, 2024 to May 1, 2025
- RAUM · $297M to $326MMar 29, 2024 to May 1, 2025
- Wrap assets (sponsor) · $0 to $4.0MMar 29, 2024 to May 1, 2025
- Accounts · 2,252 to 2,242Mar 5, 2023 to Mar 29, 2024
- Charity clients · 2.0 to unsetMar 5, 2023 to Mar 29, 2024
- Corporate clients · 1 to 9Mar 5, 2023 to Mar 29, 2024
- HNW clients · 75 to 99Mar 5, 2023 to Mar 29, 2024
- Individual clients · 1,078 to 1,070Mar 5, 2023 to Mar 29, 2024
- Pension plan clients · 0.0 to unsetMar 5, 2023 to Mar 29, 2024
- Pooled vehicle clients · 0.0 to unsetMar 5, 2023 to Mar 29, 2024
- Discretionary RAUM · $234M to $295MMar 5, 2023 to Mar 29, 2024
- HNW RAUM · $76.5M to $107MMar 5, 2023 to Mar 29, 2024
- Individual RAUM · $157M to $182MMar 5, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $18,937 to $1.5MMar 5, 2023 to Mar 29, 2024
- Pension RAUM · 0.0 to unsetMar 5, 2023 to Mar 29, 2024
Signals
4 dated events
- National Wealth Management Group, Llc reported RAUM $534.9M, up 64% from $325.7M (2025-09-22 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Claire Delaney Hart left National Wealth Management Group, Llc for Great Valley Advisor Group, Llc (registered 2026-03-06)Feb 9, 2026 · Advisor changed firm · fact
- 2 advisors left Wells Fargo Advisors (Syracuse, NY) for National Wealth Management Group, LLC within 8 daysSep 18, 2025 · Team lift-out · derived
- Alpina Financial Consultants filed its initial SEC registration (Form ADV)Feb 10, 2015 · 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
- 317-610-0886reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 317-663-7277reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-545-5692reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/nwmgadvisorsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/infinite-wealth-planning-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- jimlewiswm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 513-772-2592reportedpublic record, Form ADV, Sep 9, 2026
- Contact form
- jimlewiswm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- jimlewiswm.com/teamreportedpublished 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
- $31.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026