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
S•••••• W••••• A•••••••• L••
Legal name S•••••• W••••• A•••••••• C••••
Latest filing Apr 30, 2026
First filing on the tape Mar 3, 2025 · 4 filings
SEC status approved since Mar 31, 2025
RAUM
$135M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$135M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$135M as of Apr 30, 2026
Mar 3, 2025$118M then
HNW client RAUM$107M as of Apr 30, 2026
Mar 3, 2025$93.3M then
State-registered IARs (5.B.3)2 as of Apr 30, 2026
Mar 3, 20252 then
Employees (5.A)3 as of Apr 30, 2026
Mar 3, 20253 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $421,748derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $76.6M, 108 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$107M80%
- Individuals$27.2M20%
- Corporations and businesses$298,7290.2%
- Individual clients
- 95reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 320reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.6M for 108 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• W•••••• S•••••• | Cincinnati, Oh | Aug 4, 2015 | 34 y | 2 |
| P•••• J•••• S••••••Certified Financial Planner | Cincinnati, Oh | Apr 20, 2016 | 11 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
- A••••• W•••••• S•••••• from R•••••• J•••• • A••••••••• I•••Aug 4, 2015 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• A•••••• W•••••• · Managing Membercontrolsince 08/2015 · owns 75% or more
- M•••••••• M•••••••• A••• · Chief Compliance Officersince 02/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Organization form · Limited Liability Partnership to Limited Liability CompanyJan 30, 2026 to Mar 2, 2026
- Accounts · 301 to 320Mar 3, 2025 to Jan 30, 2026
- Advisory activities · 4 to 3Mar 3, 2025 to Jan 30, 2026
- HNW clients · 45 to 49Mar 3, 2025 to Jan 30, 2026
- Individual clients · 94 to 95Mar 3, 2025 to Jan 30, 2026
- Assets in custody · $66.3M to $76.6MMar 3, 2025 to Jan 30, 2026
- Legal name · S•••••• W••••• A•••••••• L•• to S•••••• W••••• A•••••••• C••••Mar 3, 2025 to Jan 30, 2026
- Organization form · Limited Liability Company to Limited Liability PartnershipMar 3, 2025 to Jan 30, 2026
- Discretionary RAUM · $107M to $126MMar 3, 2025 to Jan 30, 2026
- HNW RAUM · $93.3M to $107MMar 3, 2025 to Jan 30, 2026
- Individual RAUM · $24.1M to $27.2MMar 3, 2025 to Jan 30, 2026
- Non-discretionary RAUM · $10.5M to $9.3MMar 3, 2025 to Jan 30, 2026
- RAUM · $118M to $135MMar 3, 2025 to Jan 30, 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 phone
- 513-813-1580reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/schmitt-wealth-advisersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (513) 813-1580reportedpublic record, Form ADV, Apr 30, 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026