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•••• H•••• C•••••• A•••••••

Independent wealth managerCincinnati, OhioCRD 175280SEC 801-132550websiteIAPD
Legal name S•••• H•••• C•••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 27, 2025 · 2 filings
SEC status approved since Apr 28, 2025
RAUM
$130M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$130M as of Mar 31, 2026
Mar 27, 2025$113M then
HNW client RAUM$110M as of Mar 31, 2026
Mar 27, 2025$93.2M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 27, 20251 then
Employees (5.A)1 as of Mar 31, 2026
Mar 27, 20251 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 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
$130MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
123derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$360,110derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
-0.8%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
  • 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$110M85%
  • Individuals$19.9M15%
  • Charitable organizations$218,6660.2%
Individual clients
56reported
HNW clients
67reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
361reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• D••••• F••••••••Cincinnati, OhMar 20, 201532 y2
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
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••••••••• J•••••• D••••• · Cco And Managing Membercontrol
      since 02/2015 · 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 · 367 to 361
      Mar 27, 2025 to Mar 31, 2026
    • HNW clients · 52 to 67
      Mar 27, 2025 to Mar 31, 2026
    • Individual clients · 72 to 56
      Mar 27, 2025 to Mar 31, 2026
    • Discretionary RAUM · $113M to $129M
      Mar 27, 2025 to Mar 31, 2026
    • HNW RAUM · $93.2M to $110M
      Mar 27, 2025 to Mar 31, 2026
    • Individual RAUM · $20.0M to $19.9M
      Mar 27, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $791,339 to $869,340
      Mar 27, 2025 to Mar 31, 2026
    • RAUM · $113M to $130M
      Mar 27, 2025 to Mar 31, 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
    513-515-3135reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    513-515-3135reportedpublic record, Form ADV, Mar 31, 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
    $130Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026