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

B•••• T•• W••••• M•••••••••

Former SEC-registered adviserCincinnati, OhioCRD 285249SEC 801-111006websiteIAPD
Legal name B•••• T•• W••••• M••••••••• I•••
Latest filing Mar 31, 2025
First filing on the tape Jul 14, 2017 · 24 filings
SEC status approved since Aug 14, 2017
RAUM
$860M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$851M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
12 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$860M as of Mar 31, 2025
Mar 7, 2018$246M then
HNW client RAUM$336M as of Mar 31, 2025
Mar 7, 2018$128M then
State-registered IARs (5.B.3)12 as of Mar 31, 2025
Mar 7, 20186 then
Employees (5.A)29 as of Mar 31, 2025
Mar 7, 20186 then
Private funds: no history
RAUM +28% over the last fiscal year+16% a year over threeIARs 12 to 12
Practice profile
derived from the filing of Mar 31, 2025; every figure names its basis
RAUM per advisor
$71.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
238derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$299,522derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.4derivedItem 5.A over advisors
Advisors per office
2.0derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+62%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 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)
  • 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)
  • 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$516M60%
  • High-net-worth individuals$336M39%
  • Corporations and businesses$9.0M1.0%
  • Charitable organizations$33,6730.0%
Individual clients
2,728reported
HNW clients
129reported
Pension plan clients
0reported
Charitable clients
n/areported
Accounts
2,872reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
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
12 left, 0 joined in 12 months
net -12 in 12 months0 left in 90 days0 joined in 90 days12 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • S••••••• L•••• C•••••••• · Ownercontrol
    since 07/2014 · owns 50% to 75%
  • S••••••• N•••••••• N• · Chief Compliance Officercontrol
    since 07/2014 · owns 50% to 75%
Related persons
Schedule D 7.A
  • E••••• S•••• C•••••••
    real estaten
  • G••• S•••••
    investment companyn
  • G••• S•••••
    insurancen
  • L••• S••••••
    insurancen
  • N••• S••••••
    insurancen
  • N••• S••••••
    real estaten
  • N••• S••••••
    real estaten
  • N••• S••••••
    insurancen
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Carmel, In001
Cincinnati, Oh · principal0073
Zionsville, In0042
Offices
Schedule D 1.F, the 25 largest
  • Zionsville, IN3 employees
  • Dublin, OH2 employees
  • Miamisburg, OH1 employees
  • Westerville, OH1 employees
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 2,414 to 2,872
    Sep 23, 2024 to Mar 31, 2025
  • Charity clients · 3.0 to unset
    Sep 23, 2024 to Mar 31, 2025
  • Corporate clients · 8 to 12
    Sep 23, 2024 to Mar 31, 2025
  • HNW clients · 165 to 129
    Sep 23, 2024 to Mar 31, 2025
  • Individual clients · 1,600 to 2,728
    Sep 23, 2024 to Mar 31, 2025
  • Pension plan clients · 5 to 0
    Sep 23, 2024 to Mar 31, 2025
  • Employees · 12 to 29
    Sep 23, 2024 to Mar 31, 2025
  • Insurance-licensed employees · 3 to 0
    Sep 23, 2024 to Mar 31, 2025
  • Financial planning clients · 251-500 to 251-500
    Sep 23, 2024 to Mar 31, 2025
  • Discretionary RAUM · $674M to $860M
    Sep 23, 2024 to Mar 31, 2025
  • HNW RAUM · $382M to $336M
    Sep 23, 2024 to Mar 31, 2025
  • Individual RAUM · $288M to $516M
    Sep 23, 2024 to Mar 31, 2025
  • Pension RAUM · 2000000.0 to unset
    Sep 23, 2024 to Mar 31, 2025
  • RAUM · $674M to $860M
    Sep 23, 2024 to Mar 31, 2025
  • Accounts · 2,311 to 2,414
    Nov 1, 2023 to Mar 27, 2024
  • Individual clients · 1,550 to 1,600
    Nov 1, 2023 to Mar 27, 2024
  • Discretionary RAUM · $624M to $674M
    Nov 1, 2023 to Mar 27, 2024
  • HNW RAUM · $285M to $382M
    Nov 1, 2023 to Mar 27, 2024
  • Individual RAUM · $337M to $288M
    Nov 1, 2023 to Mar 27, 2024
  • Non-discretionary RAUM · $2.0M to $0
    Nov 1, 2023 to Mar 27, 2024
  • RAUM · $626M to $674M
    Nov 1, 2023 to Mar 27, 2024
  • Advisory employees · 10 to 12
    Oct 24, 2023 to Nov 1, 2023
  • BD registered reps · 10 to 12
    Oct 24, 2023 to Nov 1, 2023
  • Employees · 10 to 12
    Oct 24, 2023 to Nov 1, 2023
  • Insurance-licensed employees · 1 to 3
    Oct 24, 2023 to Nov 1, 2023
  • State-registered IARs · 10 to 12
    Oct 24, 2023 to Nov 1, 2023
  • Other offices · 3 to 5
    Oct 24, 2023 to Nov 1, 2023
  • Advisory employees · 9 to 10
    Sep 27, 2023 to Sep 28, 2023
  • BD registered reps · 9 to 10
    Sep 27, 2023 to Sep 28, 2023
  • Employees · 9 to 10
    Sep 27, 2023 to Sep 28, 2023
  • Insurance-licensed employees · 0 to 1
    Sep 27, 2023 to Sep 28, 2023
  • State-registered IARs · 9 to 10
    Sep 27, 2023 to Sep 28, 2023
  • Other offices · 2 to 3
    Sep 27, 2023 to Sep 28, 2023
  • Accounts · 2,357 to 2,311
    Apr 17, 2023 to Sep 27, 2023
  • Corporate clients · 11 to 8
    Apr 17, 2023 to Sep 27, 2023
  • HNW clients · 135 to 165
    Apr 17, 2023 to Sep 27, 2023
  • Individual clients · 1,151 to 1,550
    Apr 17, 2023 to Sep 27, 2023
  • Pension plan clients · 14 to 5
    Apr 17, 2023 to Sep 27, 2023
  • Discretionary RAUM · $537M to $624M
    Apr 17, 2023 to Sep 27, 2023
  • HNW RAUM · $264M to $285M
    Apr 17, 2023 to Sep 27, 2023
Signals
19 dated events
  • B•••• T•• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $860.2M)
    Feb 2, 2026 · Left the SEC roster · derived
  • J•••• B•••• B•••• left B•••• T•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2018-02-14)
    Dec 31, 2025 · Advisor changed firm · fact
  • R••••• L•• J•••••• left B•••• T•• W••••• M••••••••• for S••••• F•••••••• (registered 2025-12-17)
    Dec 31, 2025 · Advisor changed firm · fact
  • J••••• J••• C•••••• left B•••• T•• W••••• M••••••••• for S••••• F•••••••• (registered 2026-01-15)
    Dec 31, 2025 · Advisor changed firm · fact
  • A•••••••• S•••• K••••••••• left B•••• T•• W••••• M••••••••• for S••••• F•••••••• (registered 2025-12-18)
    Dec 31, 2025 · Advisor changed firm · fact
  • 2 advisors left B•••• T•• W••••• M••••••••• (Zionsville, IN) for L•• F•••••••• L•• on the same day
    Dec 31, 2025 · Team lift-out · derived
  • G••• A••• S••••• left B•••• T•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2018-02-14)
    Dec 31, 2025 · Advisor changed firm · fact
  • K•••• B••• S••••• left B•••• T•• W••••• M••••••••• for S••••• F•••••••• (registered 2025-12-17)
    Dec 31, 2025 · Advisor changed firm · fact
  • 2 advisors left B•••• T•• W••••• M••••••••• (Zionsville, IN) for S••••• F•••••••• on the same day
    Dec 31, 2025 · Team lift-out · derived
  • E••••• S•••• C••••••• left B•••• T•• W••••• M••••••••• for S••••• F••••••••• L•• (registered 2025-10-10)
    Dec 22, 2025 · Advisor changed firm · fact
  • N••••••• N• S•••••• left B•••• T•• W••••• M••••••••• for I••••• F•••••••• C••••••••• (registered 2017-02-06)
    Dec 3, 2025 · Advisor changed firm · fact
  • 2 advisors left B•••• T•• W••••• M••••••••• (Cincinnati, OH) for I••••• F•••••••• C••••••••• a day apart
    Dec 2, 2025 · Team lift-out · derived
  • L••• C•••••••• S•••••• left B•••• T•• W••••• M••••••••• for I••••• F•••••••• C••••••••• (registered 2017-02-07)
    Dec 2, 2025 · Advisor changed firm · fact
  • N••• S•••••• left B•••• T•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2018-02-14)
    Oct 28, 2025 · Advisor changed firm · fact
  • J••••• S••••• Z•••••• left B•••• T•• W••••• M••••••••• for L•• F•••••••• L•• (registered 2018-02-14)
    Oct 28, 2025 · Advisor changed firm · fact
  • 2 advisors left B•••• T•• W••••• M••••••••• (Cincinnati, OH) for L•• F•••••••• L•• on the same day
    Oct 28, 2025 · Team lift-out · derived
  • K••• E••••• M••••• left B•••• T•• W••••• M••••••••• for M••••• W••••• M••••••••• L•• (registered 2025-07-15)
    Oct 14, 2025 · Advisor changed firm · fact
  • B•••• T•• W••••• M••••••••• reported RAUM $860.2M, up 28% from $674.3M (2024-09-23 to 2025-03-31)
    Mar 31, 2025 · RAUM change · derived
  • B•••• T•• W••••• M••••••••• filed its initial SEC registration (Form ADV)
    Jul 14, 2017 · 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
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