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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Former SEC-registered adviser
R•••• S•••••••• • A••••••••• L••
Latest filing Mar 31, 2021
First filing on the tape Mar 28, 2012 · 47 filings
RAUM
$354M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$348M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$354M as of Mar 31, 2021
Mar 28, 2012$44.6M then
HNW client RAUM$210M as of Mar 31, 2021
Feb 9, 2018$170M then
State-registered IARs (5.B.3)4 as of Mar 31, 2021
Mar 28, 20120 then
Employees (5.A)7 as of Mar 31, 2021
Mar 10, 20148 then
Private funds: no history
RAUM -58% over the last fiscal year-18% a year over threeIARs 17 to 4offices 4 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
- RAUM per advisor
- $88.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 200derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $437,577derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -58%derivedbetween the last two annual amendments
- Advisor growth, one year
- -76%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -31%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- $21.7MreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$210M59%
- Individuals$138M39%
- Charitable organizations$5.1M1.4%
- Pension and profit-sharing plans$423,5660.1%
- Corporations and businesses$101,0420.0%
- Individual clients
- 684reported
- HNW clients
- 116reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 808reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $21.7M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••••• D•••• H••••••• to F•• I••••••••• L••Dec 6, 2021 · RIA to RIA
- L••••• K••• M••••• to O•••••••Dec 6, 2021 · RIA to RIA
- S•••••• J•••• K••• to O•••••••Dec 6, 2021 · RIA to RIA
- S•••• K•••••••• B••••• to F•• I••••••••• L••Oct 15, 2021 · Other
- P•••• P••• B•••• to F•• I••••••••• L••Sep 17, 2020 · Other
- R••• B••• to F•• I••••••••• L••Aug 26, 2020 · Other
- P•••• E••••• R••••• to B••••••• A•••• M••••••••• L••Jun 15, 2020 · RIA to RIA
- M•••••• S•••• G•••• to S•• I••••••••• M••••••••• C•••Jun 15, 2020 · Other
- B•••• C• C••••• to F•••• K••••••• S••••••••• C•••Jun 1, 2020 · RIA to RIA
- B•••••• C•••• P••••••• to F•••• K••••••• S••••••••• C•••Jun 1, 2020 · RIA to RIA
- M••••• L• W•••• to F•••• K••••••• S••••••••• C•••Jun 1, 2020 · RIA to RIA
- B•••••• C•••• P••••••• to F•••• K••••••• S••••••••• C•••Mar 26, 2020 · RIA to RIA
- K•••• D•••• T••••••• to J••• M••••• S••••••••• L••Mar 2, 2020 · RIA to wirehouse
- E••• R•••• P•••• to H•••••• S••••••••• I•••Nov 20, 2018 · RIA to affiliated broker-dealer or bank
- J••• J• T••••• to L•• F•••••••• L••Jul 11, 2017 · Other
Joined, latest
- B•••••• C•••• P••••••• from F•••• K••••••• S••••••••• C•••Apr 3, 2020 · RIA to RIA
- B•••• C• C••••• from R•••••• J•••• • A••••••••• I•••Jun 17, 2019 · Affiliated broker-dealer or bank to independent RIA
- M••••• L• W•••• from A••••••••• F•••••••• S•••••••• L••Feb 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- K•••• D•••• T••••••• from W•••••• • R•••Jun 13, 2018 · Affiliated broker-dealer or bank to independent RIA
- P•••• E••••• R••••• from C••• S••••••••• C•••••••••Jun 13, 2017 · Other
- S•••••• J•••• K••• from C••••••••• F•••••••• S••••••••• I•••Jan 13, 2016 · Other
- M•••••• S•••• G•••• from F•••• T•••• S••••••••• I•••Jul 21, 2014 · Other
- C••• D•••• R••••••• from C••••• C••••••• L••Aug 5, 2013 · Other
- P•••• P••• B•••• from F•• H•••••• • C•Mar 17, 2011 · Other
- O••• G••••• from B•••••• W••• • C••• I•••Feb 15, 2011 · Other
- E••• R•••• P•••• from B•••••• W••• • C••• I•••Feb 11, 2011 · Other
- E••• B•••••• from U•• F•••••••• S••••••• I•••Feb 12, 2010 · Other
- B•••••• C•••• P••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 5, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• M••••• · Owner/Founder/Ccocontrolsince 01/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list R•••• S•••••••• • A••••••••• L•• as a related person
- 309300 n
Offices
Schedule D 1.F, the 25 largest
- Dayton, OH1 employees
What changed
consecutive filings, newest first
- Accounts · 816 to 808Sep 29, 2020 to Mar 31, 2021
- Charity clients · unset to 5.0Sep 29, 2020 to Mar 31, 2021
- HNW clients · 101 to 116Sep 29, 2020 to Mar 31, 2021
- Individual clients · 708 to 684Sep 29, 2020 to Mar 31, 2021
- Assets in custody · $65.1M to $62.1MSep 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $319M to $354MSep 29, 2020 to Mar 31, 2021
- HNW RAUM · $178M to $210MSep 29, 2020 to Mar 31, 2021
- Individual RAUM · $136M to $138MSep 29, 2020 to Mar 31, 2021
- Pension RAUM · $417,225 to $423,566Sep 29, 2020 to Mar 31, 2021
- RAUM · $319M to $354MSep 29, 2020 to Mar 31, 2021
- Related adviser · true to falseSep 29, 2020 to Mar 31, 2021
- Wrap assets (sponsor) · $18.9M to $21.7MSep 29, 2020 to Mar 31, 2021
- Accounts · 803 to 816Sep 16, 2020 to Sep 29, 2020
- Advisory employees · 5 to 4Sep 16, 2020 to Sep 29, 2020
- HNW clients · 73 to 101Sep 16, 2020 to Sep 29, 2020
- Individual clients · 836 to 708Sep 16, 2020 to Sep 29, 2020
- Employees · 8 to 7Sep 16, 2020 to Sep 29, 2020
- State-registered IARs · 5 to 4Sep 16, 2020 to Sep 29, 2020
- Discretionary RAUM · $398M to $319MSep 16, 2020 to Sep 29, 2020
- HNW RAUM · $168M to $178MSep 16, 2020 to Sep 29, 2020
- Individual RAUM · $192M to $136MSep 16, 2020 to Sep 29, 2020
- Pension RAUM · $26.0M to $417,225Sep 16, 2020 to Sep 29, 2020
- RAUM · $398M to $319MSep 16, 2020 to Sep 29, 2020
- Wrap assets (sponsor) · $19.9M to $18.9MSep 16, 2020 to Sep 29, 2020
- Accounts · 1,617 to 803Jun 29, 2020 to Sep 16, 2020
- Advisory employees · 11 to 5Jun 29, 2020 to Sep 16, 2020
- BD registered reps · 20 to 0Jun 29, 2020 to Sep 16, 2020
- HNW clients · 94 to 73Jun 29, 2020 to Sep 16, 2020
- Individual clients · 1,073 to 836Jun 29, 2020 to Sep 16, 2020
- Commission compensation · true to falseJun 29, 2020 to Sep 16, 2020
- Employees · 20 to 8Jun 29, 2020 to Sep 16, 2020
- State-registered IARs · 17 to 5Jun 29, 2020 to Sep 16, 2020
- Discretionary RAUM · $803M to $398MJun 29, 2020 to Sep 16, 2020
- HNW RAUM · $207M to $168MJun 29, 2020 to Sep 16, 2020
- Individual RAUM · $264M to $192MJun 29, 2020 to Sep 16, 2020
- Non-discretionary RAUM · $31.4M to $0Jun 29, 2020 to Sep 16, 2020
- RAUM · $835M to $398MJun 29, 2020 to Sep 16, 2020
- Wrap assets (manager) · $326M to $0Jun 29, 2020 to Sep 16, 2020
- Other offices · 4 to 1Feb 26, 2020 to Jun 29, 2020
- Related broker-dealer · true to falseFeb 26, 2020 to Jun 29, 2020
Signals
6 dated events
- R•••• S•••••••• • A••••••••• L•• reported 5 state-registered advisory representatives, down from 17 (2020-06-29 to 2020-09-16)Sep 16, 2020 · Advisor headcount change · derived
- R•••• S•••••••• • A••••••••• L•• reported RAUM $397.9M, down 52% from $834.8M (2020-06-29 to 2020-09-16)Sep 16, 2020 · RAUM change · derived
- Fred Thomas Overbeck (Shareholder) no longer on Schedule A of R•••• S•••••••• • A••••••••• L•• (listed 2020-06-29, absent 2020-09-16)Sep 16, 2020 · Control person left · inference
- Larry Nelson Jr Taul (Shareholder) no longer on Schedule A of R•••• S•••••••• • A••••••••• L•• (listed 2020-06-29, absent 2020-09-16)Sep 16, 2020 · Control person left · inference
- R•••• S•••••••• • A••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Feb 23, 2016 · Succession (Item 4) · fact
- R•••• S•••••••• • A••••••••• L•• filed its initial SEC registration (Form ADV)Aug 23, 2013 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026