DFX Intelligence

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R••••••• A•••••••

Former SEC-registered adviserFormer SEC adviser1 private funds· Dayton, Ohio

Former SEC-registered adviser, based in Dayton, Ohio, reporting $66.6M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2023-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $66.6M
RAUM change, last fiscal year: -17%
Private clients: 18% of RAUM, $12.2M

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2023-03-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 16 Mar 2023, RAUM $80.1M to $66.6M (-17.0%) on the Form ADV filed 16 Mar 2023.

Every filed figure, and the identifiersCRD 281449 · SEC 801-107035 · 10 filingsShow

CRD 281449SEC 801-107035Legal name R••••••• A••••••• L••First filing on the tape Dec 4, 2015, latest Mar 16, 2023IAPD

RAUM

$66.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

18%

$12.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$8.5M gross assets

History

10 filings and snapshots on the tape

RAUM +1.2% a year over three years · the tape starts Dec 4, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$66.6M as of Mar 16, 2023

Mar 13, 2017$60.1M then

HNW client RAUM$12.2M as of Mar 16, 2023

Mar 23, 2018$7.6M then

State-registered IARs (5.B.3)0 as of Mar 16, 2023

Mar 13, 20170 then

Employees (5.A)2 as of Mar 16, 2023

Mar 13, 20172 then

Private funds1 as of Mar 16, 2023

Mar 13, 20171 then

RAUM -17% over the last fiscal year+1.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 16, 2023; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $16.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: -17%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

82% charitable organizations, 18% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow

Charitable organizations$54.4M82%
High-net-worth individuals$12.2M18%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R••••••• F••• L••	Hedge Fund	$8.5M	29	Dec 4, 2015

Owners and control persons

Schedule A and B, latest filing

G•••••• R•••••• C••• · President, Chief Compliance Officer And Membercontrol
since 12/2010 · owns 50% to 75%
T•••• R•••••• G•••••• · Vice President And Membercontrol
since 12/2010 · owns 25% to 50%

Related persons

Schedule D 7.A

R••••••• M••••••••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 3 to 4
Mar 8, 2022 to Mar 16, 2023
Advisory activities · 3 to 1
Mar 8, 2022 to Mar 16, 2023
Pooled vehicle clients · 1.0 to unset
Mar 8, 2022 to Mar 16, 2023
Discretionary RAUM · $80.1M to $66.6M
Mar 8, 2022 to Mar 16, 2023
HNW RAUM · $10.7M to $12.2M
Mar 8, 2022 to Mar 16, 2023

Full history · 32 changes

Pooled vehicle RAUM · 11124983.0 to unset
Mar 8, 2022 to Mar 16, 2023
RAUM · $80.1M to $66.6M
Mar 8, 2022 to Mar 16, 2023
Discretionary RAUM · $69.8M to $80.1M
Mar 17, 2021 to Mar 8, 2022
HNW RAUM · $9.1M to $10.7M
Mar 17, 2021 to Mar 8, 2022
Pooled vehicle RAUM · $9.4M to $11.1M
Mar 17, 2021 to Mar 8, 2022
RAUM · $69.8M to $80.1M
Mar 17, 2021 to Mar 8, 2022
Discretionary RAUM · $64.2M to $69.8M
Feb 24, 2021 to Mar 17, 2021
HNW RAUM · $8.0M to $9.1M
Feb 24, 2021 to Mar 17, 2021
Pooled vehicle RAUM · $8.4M to $9.4M
Feb 24, 2021 to Mar 17, 2021
RAUM · $64.2M to $69.8M
Feb 24, 2021 to Mar 17, 2021
Discretionary RAUM · $52.9M to $64.2M
Apr 9, 2019 to Mar 18, 2020
HNW RAUM · $6.4M to $8.0M
Apr 9, 2019 to Mar 18, 2020
Pooled vehicle RAUM · $8.5M to $8.4M
Apr 9, 2019 to Mar 18, 2020
RAUM · $52.9M to $64.2M
Apr 9, 2019 to Mar 18, 2020
Discretionary RAUM · $70.2M to $52.9M
Mar 23, 2018 to Apr 9, 2019
HNW RAUM · $7.6M to $6.4M
Mar 23, 2018 to Apr 9, 2019
Pooled vehicle RAUM · $10.3M to $8.5M
Mar 23, 2018 to Apr 9, 2019
RAUM · $70.2M to $52.9M
Mar 23, 2018 to Apr 9, 2019
Pooled vehicle clients · unset to 1.0
Mar 13, 2017 to Mar 23, 2018
Other offices · unset to 0.0
Mar 13, 2017 to Mar 23, 2018
Discretionary RAUM · $60.1M to $70.2M
Mar 13, 2017 to Mar 23, 2018
HNW RAUM · unset to 7623495.0
Mar 13, 2017 to Mar 23, 2018
Pooled vehicle RAUM · unset to 10341958.0
Mar 13, 2017 to Mar 23, 2018
RAUM · $60.1M to $70.2M
Mar 13, 2017 to Mar 23, 2018
Accounts · 4 to 3
Dec 23, 2015 to Mar 13, 2017
Discretionary RAUM · $59.3M to $60.1M
Dec 23, 2015 to Mar 13, 2017
RAUM · $59.3M to $60.1M
Dec 23, 2015 to Mar 13, 2017

Signals

1 dated events

••• Locked
Dec 4, 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.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026