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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Latest filing Mar 25, 2026
First filing on the tape Aug 23, 2019 · 8 filings
SEC status approved since Sep 20, 2019
RAUM
$480M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$88.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$480M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$480M as of Mar 25, 2026
Mar 31, 2020$275M then
HNW client RAUM$88.2M as of Mar 25, 2026
Mar 31, 2020$70.8M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Mar 31, 20201 then
Employees (5.A)2 as of Mar 25, 2026
Mar 31, 20201 then
Private funds: no history
RAUM +2.3% over the last fiscal year+11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $480MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $22.1MderivedHNW RAUM over HNW clients
- Average account
- $34.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 82%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$392M82%
- High-net-worth individuals$88.2M18%
- Individual clients
- n/areported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.18 fund_share=0.0 institutional_share=0.82 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••••• B••••• M••••••• | Galena, Oh | Jan 31, 2017 | 16 y | 1 |
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
- T••••••• B••••• M••••••• from F•••• T•••• S••••••••• I•••Jan 31, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• T•••••••• B••••• · President And Chief Compliance Officercontrolsince 11/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 19 to 14Mar 31, 2025 to Mar 25, 2026
- Charity clients · 2 to 1Mar 31, 2025 to Mar 25, 2026
- Discretionary RAUM · $470M to $480MMar 31, 2025 to Mar 25, 2026
- HNW RAUM · $106M to $88.2MMar 31, 2025 to Mar 25, 2026
- RAUM · $470M to $480MMar 31, 2025 to Mar 25, 2026
- Accounts · 17 to 19Mar 8, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 31, 2025
- HQ city · unset to Mar 8, 2024 to Mar 31, 2025
- HQ state · unset to Mar 8, 2024 to Mar 31, 2025
- Discretionary RAUM · $411M to $470MMar 8, 2024 to Mar 31, 2025
- HNW RAUM · $91.0M to $106MMar 8, 2024 to Mar 31, 2025
- RAUM · $411M to $470MMar 8, 2024 to Mar 31, 2025
- Accounts · 15 to 17Mar 29, 2023 to Mar 8, 2024
- Discretionary RAUM · $351M to $411MMar 29, 2023 to Mar 8, 2024
- HNW RAUM · $77.0M to $91.0MMar 29, 2023 to Mar 8, 2024
- RAUM · $351M to $411MMar 29, 2023 to Mar 8, 2024
- Discretionary RAUM · $354M to $351MMar 29, 2022 to Mar 29, 2023
- HNW RAUM · $91.1M to $77.0MMar 29, 2022 to Mar 29, 2023
- RAUM · $354M to $351MMar 29, 2022 to Mar 29, 2023
- Accounts · 17 to 15Mar 24, 2021 to Mar 29, 2022
- HNW clients · 9 to 4Mar 24, 2021 to Mar 29, 2022
- Discretionary RAUM · $309M to $354MMar 24, 2021 to Mar 29, 2022
- HNW RAUM · $80.5M to $91.1MMar 24, 2021 to Mar 29, 2022
- RAUM · $309M to $354MMar 24, 2021 to Mar 29, 2022
- Accounts · 14 to 17Mar 31, 2020 to Mar 24, 2021
- Advisory employees · 1 to 2Mar 31, 2020 to Mar 24, 2021
- HNW clients · 6 to 9Mar 31, 2020 to Mar 24, 2021
- Employees · 1 to 2Mar 31, 2020 to Mar 24, 2021
- Discretionary RAUM · $275M to $309MMar 31, 2020 to Mar 24, 2021
- HNW RAUM · $70.8M to $80.5MMar 31, 2020 to Mar 24, 2021
- RAUM · $275M to $309MMar 31, 2020 to Mar 24, 2021
- Accounts · 10 to 14Aug 23, 2019 to Mar 31, 2020
- Charity clients · unset to 2.0Aug 23, 2019 to Mar 31, 2020
- HNW clients · 7 to 6Aug 23, 2019 to Mar 31, 2020
- Discretionary RAUM · $196M to $275MAug 23, 2019 to Mar 31, 2020
- HNW RAUM · $44.1M to $70.8MAug 23, 2019 to Mar 31, 2020
- RAUM · $196M to $275MAug 23, 2019 to Mar 31, 2020
Signals
1 dated events
- 1••• M•••••••• L•• filed its initial SEC registration (Form ADV)Aug 23, 2019 · 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
- Principal office phone
- 614-893-8715reportedpublic record, Form ADV, Mar 25, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $480Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026