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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••• H••••• W••••• A•••••••• L••
Latest filing Apr 10, 2026
First filing on the tape Mar 8, 2024 · 7 filings
SEC status approved since Apr 9, 2024
RAUM
$167M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
100%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$83.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$167M as of Apr 10, 2026
Jan 9, 2025$129M then
HNW client RAUM$58.7M as of Apr 10, 2026
Jan 9, 2025$39.0M then
State-registered IARs (5.B.3)2 as of Apr 10, 2026
Jan 9, 20252 then
Employees (5.A)3 as of Apr 10, 2026
Jan 9, 20253 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 10, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $83.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 233derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $154,102derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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
- Individuals$109M65%
- High-net-worth individuals$58.7M35%
- Individual clients
- 428reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,085reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• J••••• S•••••• | Louisville, Ky | Aug 1, 2016 | 14 y | 2 |
| N••••••• M••••• G•••••Chartered Financial Consultant | Dublin, Oh | Apr 16, 2021 | 15 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
- C••• J••••• S•••••• from S••• H••••• W••••• M••••••••• L••Aug 1, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• C•••• J••••• · Managing Membercontrolsince 07/2016 · owns 75% or more
- V••••• H•••• · Chief Compliance Officercontrolsince 01/2017 · owns less than 5%
Related persons
Schedule D 7.A
- S••• H••••• F•••••••• G••••• L••real estaten
- S••• H••••• H•••••• L••real estaten
- S••• H••••• R••••••••• G••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dublin, Oh · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Columbus, OH2 employees
What changed
consecutive filings, newest first
- Accounts · 1,066 to 1,085Feb 10, 2026 to Apr 10, 2026
- HNW clients · 40 to 37Feb 10, 2026 to Apr 10, 2026
- Individual clients · 423 to 428Feb 10, 2026 to Apr 10, 2026
- Discretionary RAUM · $165M to $161MFeb 10, 2026 to Apr 10, 2026
- HNW RAUM · $61.6M to $58.7MFeb 10, 2026 to Apr 10, 2026
- Individual RAUM · $104M to $109MFeb 10, 2026 to Apr 10, 2026
- Non-discretionary RAUM · $0 to $6.1MFeb 10, 2026 to Apr 10, 2026
- RAUM · $165M to $167MFeb 10, 2026 to Apr 10, 2026
- Non-discretionary RAUM · $1.2M to $0Nov 10, 2025 to Feb 10, 2026
- RAUM · $163M to $165MNov 10, 2025 to Feb 10, 2026
- Accounts · 1,062 to 1,066Nov 10, 2025 to Feb 10, 2026
- HNW clients · 38 to 40Nov 10, 2025 to Feb 10, 2026
- Individual clients · 422 to 423Nov 10, 2025 to Feb 10, 2026
- Discretionary RAUM · $161M to $165MNov 10, 2025 to Feb 10, 2026
- HNW RAUM · $58.7M to $61.6MNov 10, 2025 to Feb 10, 2026
- Individual RAUM · $104M to $104MNov 10, 2025 to Feb 10, 2026
- Accounts · 952 to 1,062Jan 9, 2025 to Nov 10, 2025
- HNW clients · 25 to 38Jan 9, 2025 to Nov 10, 2025
- Individual clients · 389 to 422Jan 9, 2025 to Nov 10, 2025
- Discretionary RAUM · $129M to $161MJan 9, 2025 to Nov 10, 2025
- HNW RAUM · $39.0M to $58.7MJan 9, 2025 to Nov 10, 2025
- Individual RAUM · $89.8M to $104MJan 9, 2025 to Nov 10, 2025
- Non-discretionary RAUM · $8,002 to $1.2MJan 9, 2025 to Nov 10, 2025
- RAUM · $129M to $163MJan 9, 2025 to Nov 10, 2025
- Accounts · 922 to 952Nov 14, 2024 to Jan 9, 2025
- HNW clients · 27 to 25Nov 14, 2024 to Jan 9, 2025
- Individual clients · 378 to 389Nov 14, 2024 to Jan 9, 2025
- Financial planning clients · 251-500 to 251-500Nov 14, 2024 to Jan 9, 2025
- Discretionary RAUM · $126M to $129MNov 14, 2024 to Jan 9, 2025
- HNW RAUM · $40.9M to $39.0MNov 14, 2024 to Jan 9, 2025
- Individual RAUM · $85.6M to $89.8MNov 14, 2024 to Jan 9, 2025
- Non-discretionary RAUM · $0 to $8,002Nov 14, 2024 to Jan 9, 2025
- RAUM · $126M to $129MNov 14, 2024 to Jan 9, 2025
- Accounts · 862 to 922Apr 11, 2024 to Nov 14, 2024
- HNW clients · 14 to 27Apr 11, 2024 to Nov 14, 2024
- Individual clients · 358 to 378Apr 11, 2024 to Nov 14, 2024
- Insurance-licensed employees · 0 to 1Apr 11, 2024 to Nov 14, 2024
- Discretionary RAUM · $101M to $126MApr 11, 2024 to Nov 14, 2024
- HNW RAUM · $23.6M to $40.9MApr 11, 2024 to Nov 14, 2024
- Individual RAUM · $78.0M to $85.6MApr 11, 2024 to Nov 14, 2024
Signals
1 dated events
- S••• H••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 8, 2024 · 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
- Website
- S•••H•••••OH.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 614-760-0670reportedpublic record, Form ADV, Apr 10, 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
- $83.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026