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
W••••• D••••••••• F••••• O•••••• I••
Latest filing Jul 30, 2026
First filing on the tape Jun 11, 2015 · 23 filings
SEC status approved since Jun 24, 2015
RAUM
$626M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$625M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$89.4M
derived; firm RAUM over IAPD count
Employees
16
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$626M as of Jul 30, 2026
Sep 17, 2015$0 then
HNW client RAUM$625M as of Jul 30, 2026
Sep 27, 2018$346M then
State-registered IARs (5.B.3)7 as of Jul 30, 2026
Sep 17, 20152 then
Employees (5.A)16 as of Jul 30, 2026
Sep 17, 20153 then
Private funds: no history
RAUM +20% over the last fiscal year+4.2% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $89.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $48.1MderivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $657M, 13 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$625M100%
- Individual clients
- 0reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 134reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $657M for 13 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• T•••••• A••••• · Shareholder, Vice Presidentcontrolsince 06/2015 · owns 25% to 50%
- L•••••• D••••••• P••• · Shareholder, President, Secretarycontrolsince 06/2015 · owns 25% to 50%
- V••••••••• D•••••• D•••• · Shareholder And Financial Advisorcontrolsince 06/2023 · owns 25% to 50%
- P•••••• K•••••• K••••• · Chief Compliance Officersince 09/2024 · owns less than 5%
Related persons
Schedule D 7.A
- W••••• D••••••••• G••••• L•••investment advisernRAUM $1.2B
Advisers that list W••••• D••••••••• F••••• O•••••• I•• as a related person
- 107618 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 118 to 134Mar 31, 2025 to Sep 25, 2025
- Advisory employees · 11 to 10Mar 31, 2025 to Sep 25, 2025
- HNW clients · 12 to 13Mar 31, 2025 to Sep 25, 2025
- Assets in custody · $608M to $657MMar 31, 2025 to Sep 25, 2025
- Insurance-licensed employees · 8 to 7Mar 31, 2025 to Sep 25, 2025
- State-registered IARs · 8 to 7Mar 31, 2025 to Sep 25, 2025
- Discretionary RAUM · $584M to $626MMar 31, 2025 to Sep 25, 2025
- HNW RAUM · $583M to $625MMar 31, 2025 to Sep 25, 2025
- RAUM · $584M to $626MMar 31, 2025 to Sep 25, 2025
- Financial planning clients · 11-25 to 11-25Sep 27, 2024 to Mar 31, 2025
- Accounts · 113 to 118Apr 10, 2024 to Sep 27, 2024
- Advisory employees · 9 to 11Apr 10, 2024 to Sep 27, 2024
- Assets in custody · $536M to $608MApr 10, 2024 to Sep 27, 2024
- Employees · 14 to 16Apr 10, 2024 to Sep 27, 2024
- Discretionary RAUM · $520M to $584MApr 10, 2024 to Sep 27, 2024
- HNW RAUM · $519M to $583MApr 10, 2024 to Sep 27, 2024
- RAUM · $520M to $584MApr 10, 2024 to Sep 27, 2024
- Accounts · 109 to 113Sep 28, 2022 to Sep 28, 2023
- HNW clients · 13 to 12Sep 28, 2022 to Sep 28, 2023
- Assets in custody · $462M to $536MSep 28, 2022 to Sep 28, 2023
- Discretionary RAUM · $460M to $520MSep 28, 2022 to Sep 28, 2023
- HNW RAUM · $459M to $519MSep 28, 2022 to Sep 28, 2023
- RAUM · $460M to $520MSep 28, 2022 to Sep 28, 2023
- Accounts · 106 to 109Sep 29, 2021 to Sep 28, 2022
- Advisory employees · 8 to 9Sep 29, 2021 to Sep 28, 2022
- HNW clients · 17 to 13Sep 29, 2021 to Sep 28, 2022
- Assets in custody · $553M to $462MSep 29, 2021 to Sep 28, 2022
- Employees · 13 to 14Sep 29, 2021 to Sep 28, 2022
- Insurance-licensed employees · 10 to 8Sep 29, 2021 to Sep 28, 2022
- State-registered IARs · 5 to 8Sep 29, 2021 to Sep 28, 2022
- Discretionary RAUM · $553M to $460MSep 29, 2021 to Sep 28, 2022
- HNW RAUM · $552M to $459MSep 29, 2021 to Sep 28, 2022
- RAUM · $553M to $460MSep 29, 2021 to Sep 28, 2022
- Accounts · 89 to 106Oct 28, 2020 to Sep 29, 2021
- Advisory employees · 7 to 8Oct 28, 2020 to Sep 29, 2021
- Advisory activities · 5 to 4Oct 28, 2020 to Sep 29, 2021
- HNW clients · 16 to 17Oct 28, 2020 to Sep 29, 2021
- Assets in custody · $450M to $553MOct 28, 2020 to Sep 29, 2021
- Employees · 9 to 13Oct 28, 2020 to Sep 29, 2021
- Insurance-licensed employees · 9 to 10Oct 28, 2020 to Sep 29, 2021
Signals
6 dated events
- D••••• P•••••• H•••• (Chief Compliance Officer) no longer on Schedule A of W••••• D••••••••• F••••• O•••••• I•• (listed 2024-04-10, absent 2024-09-27)Sep 27, 2024 · Control person left · inference
- Earl Michael Mccaw (Shareholder, Vice President) no longer on Schedule A of W••••• D••••••••• F••••• O•••••• I•• (listed 2023-09-28, absent 2023-11-28)Nov 28, 2023 · Control person left · inference
- David D••••• Vogelpohl (Shareholder And Financial Advisor) appeared on Schedule A of W••••• D••••••••• F••••• O•••••• I••Nov 28, 2023 · Control person joined · fact
- D••••• P•••••• H•••• (Chief Compliance Officer) appeared on Schedule A of W••••• D••••••••• F••••• O•••••• I••Sep 29, 2020 · Control person joined · fact
- D••••• P•••••• H•••• (Chief Compliance Officer) no longer on Schedule A of W••••• D••••••••• F••••• O•••••• I•• (listed 2019-08-29, absent 2019-09-27)Sep 27, 2019 · Control person left · inference
- W••••• D••••••••• F••••• O•••••• I•• filed its initial SEC registration (Form ADV)Jun 11, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••• D••••••••• F••••• O•••••• I•• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- (513) 945-1030reportedpublic record, Form ADV, Jul 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
- $89.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026