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
L••••••••• P•••••••• I•••
Latest filing Mar 12, 2026
First filing on the tape Mar 12, 2015 · 22 filings
SEC status approved since Jul 2, 2019
RAUM
$291M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$290M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$72.7M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$291M as of Mar 12, 2026
Mar 25, 2020$123M then
HNW client RAUM$104M as of Mar 12, 2026
Mar 25, 2020$44.9M then
State-registered IARs (5.B.3)4 as of Mar 12, 2026
Mar 25, 20203 then
Employees (5.A)8 as of Mar 12, 2026
Mar 25, 20203 then
Private funds: no history
RAUM +18% over the last fiscal year+20% a year over threeIARs 3 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $72.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 278derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $169,259derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$186M64%
- High-net-worth individuals$104M36%
- Pension and profit-sharing plans$684,8770.2%
- Charitable organizations$294,3100.1%
- Individual clients
- 1,053reported
- HNW clients
- 60reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 1,717reported
- Financial planning clients
- 1-10reported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••••• K•••• | Glasgow, Ky | May 29, 2015 | 27 y | 2 |
| C•••• H•••••Certified Financial Planner | Glasgow, Ky | Jan 1, 2025 | 10 y | 1 |
| J••••••• W••••• H•••••• | Glasgow, Ky | Jun 10, 2025 | 15 y | 1 |
| J••• P•••••• M••••• K•••• | Glasgow, Ky | Feb 27, 2026 | 10 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
- J••••••• W••••• H•••••• from L•• F•••••••• L••Jun 10, 2025 · Other
- C•••• H••••• from T••••••• I••••••••• M••••••••• I•••Jan 1, 2025 · Other
- D••••• J••••• K•••• from L•• F•••••••• L••May 29, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••May 4, 2015 · Glasgow, Ky
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• D•••••• J••••• · Chief Compliance Officer/Managing Membercontrolsince 03/2015 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Glasgow, Ky · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 12, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- unusually high clients per advisorStatic outlier · filing Mar 12, 2026private clients per advisor of 278.2 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 6.3 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Employees · 3 to 8Mar 21, 2025 to Mar 12, 2026
- Accounts · 1,567 to 1,717Mar 21, 2025 to Mar 12, 2026
- Advisory employees · 3 to 4Mar 21, 2025 to Mar 12, 2026
- Charity clients · unset to 2.0Mar 21, 2025 to Mar 12, 2026
- HNW clients · 46 to 60Mar 21, 2025 to Mar 12, 2026
- Individual clients · 966 to 1,053Mar 21, 2025 to Mar 12, 2026
- Assets in custody · $88.6M to $97.0MMar 21, 2025 to Mar 12, 2026
- State-registered IARs · 3 to 4Mar 21, 2025 to Mar 12, 2026
- Other offices · 0 to 1Mar 21, 2025 to Mar 12, 2026
- HNW RAUM · $74.7M to $104MMar 21, 2025 to Mar 12, 2026
- Individual RAUM · $165M to $186MMar 21, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $246M to $291MMar 21, 2025 to Mar 12, 2026
- Pension RAUM · $501,226 to $684,877Mar 21, 2025 to Mar 12, 2026
- RAUM · $246M to $291MMar 21, 2025 to Mar 12, 2026
- Accounts · 968 to 1,567Feb 27, 2024 to Mar 21, 2025
- Charity clients · 2.0 to unsetFeb 27, 2024 to Mar 21, 2025
- HNW clients · 30 to 46Feb 27, 2024 to Mar 21, 2025
- Individual clients · 893 to 966Feb 27, 2024 to Mar 21, 2025
- Assets in custody · $102M to $88.6MFeb 27, 2024 to Mar 21, 2025
- Custody of client assets · true to falseFeb 27, 2024 to Mar 21, 2025
- Employees · 7 to 3Feb 27, 2024 to Mar 21, 2025
- Financial planning clients · 1-10 to 1-10Feb 27, 2024 to Mar 21, 2025
- HNW RAUM · $45.9M to $74.7MFeb 27, 2024 to Mar 21, 2025
- Individual RAUM · $150M to $165MFeb 27, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $201M to $246MFeb 27, 2024 to Mar 21, 2025
- Pension RAUM · $167,221 to $501,226Feb 27, 2024 to Mar 21, 2025
- RAUM · $201M to $246MFeb 27, 2024 to Mar 21, 2025
- Accounts · 1,403 to 968Jul 24, 2023 to Feb 27, 2024
- Charity clients · unset to 2.0Jul 24, 2023 to Feb 27, 2024
- HNW clients · 42 to 30Jul 24, 2023 to Feb 27, 2024
- Individual clients · 1,172 to 893Jul 24, 2023 to Feb 27, 2024
- Pension plan clients · unset to 1.0Jul 24, 2023 to Feb 27, 2024
- Assets in custody · $13.2M to $102MJul 24, 2023 to Feb 27, 2024
- Employees · 4 to 7Jul 24, 2023 to Feb 27, 2024
- Financial planning clients · 11-25 to 1-10Jul 24, 2023 to Feb 27, 2024
- HNW RAUM · $65.1M to $45.9MJul 24, 2023 to Feb 27, 2024
- Individual RAUM · $102M to $150MJul 24, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $167M to $201MJul 24, 2023 to Feb 27, 2024
- Pension RAUM · $0 to $167,221Jul 24, 2023 to Feb 27, 2024
- RAUM · $167M to $201MJul 24, 2023 to Feb 27, 2024
Signals
1 dated events
- L••••••••• P•••••••• I••• filed its initial SEC registration (Form ADV)Mar 12, 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 email
- info@lockshieldpartners.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 270-353-6380reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 270-629-2046reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 270-651-3013reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- lockshieldpartners.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 270-629-2046reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- lockshieldpartners.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $72.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026