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
K•••••• W••••• A•••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Feb 17, 2017 · 16 filings
SEC status approved since Feb 26, 2021
RAUM
$344M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
92%
$317M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$86.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$344M as of Feb 19, 2026
Jan 31, 2022$247M then
HNW client RAUM$143M as of Feb 19, 2026
Jan 31, 2022$73.8M then
State-registered IARs (5.B.3)3 as of Feb 19, 2026
Jan 31, 20224 then
Employees (5.A)4 as of Feb 19, 2026
Jan 31, 20225 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Feb 19, 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
- RAUM per advisor
- $86.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $238,891derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 7.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 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$174M51%
- High-net-worth individuals$143M42%
- Pension and profit-sharing plans$26.7M7.8%
- Individual clients
- 415reported
- HNW clients
- 50reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,440reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A•••••• K••••••Certified Financial Planner | Cincinnati, Oh | Mar 10, 2017 | 20 y | 3 |
| J•••• B•••••• K•••• | Cincinnati, Oh | Sep 9, 2019 | 31 y | 0 |
| D•••• P••• B•••••Certified Financial Planner | Cincinnati, Oh | Jan 14, 2021 | 36 y | 3 |
| A••••• S•••• F•••••Certified Financial Planner | Cincinnati, Oh | Jul 10, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• S•••• F••••• from P••••• M•••• F•••••••• A•••••••Jul 10, 2026 · RIA to RIA
- D•••• P••• B••••• from D•••• B••••• A••••••• L••Jan 14, 2021 · Other
- B•••• A•••••• K•••••• from L•• F•••••••• L••Mar 10, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••• B••••• A•••••• · President & Chief Compliance Officercontrolsince 03/2017 · owns 75% or more
- K••••• J••••• B•••••• · Financial Advisorsince 01/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Cincinnati, Oh · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 19, 2026custody of client assets (Item 9.A): yes on the filing of 2025-03-04, no on the filing of 2026-02-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,053 to 1,440Mar 4, 2025 to Feb 19, 2026
- Advisory employees · 4 to 3Mar 4, 2025 to Feb 19, 2026
- HNW clients · 47 to 50Mar 4, 2025 to Feb 19, 2026
- Individual clients · 392 to 415Mar 4, 2025 to Feb 19, 2026
- Assets in custody · 0.0 to unsetMar 4, 2025 to Feb 19, 2026
- Custody of client assets · true to falseMar 4, 2025 to Feb 19, 2026
- State-registered IARs · 4 to 3Mar 4, 2025 to Feb 19, 2026
- Discretionary RAUM · $281M to $317MMar 4, 2025 to Feb 19, 2026
- HNW RAUM · $128M to $143MMar 4, 2025 to Feb 19, 2026
- Individual RAUM · $153M to $174MMar 4, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $23.5M to $26.7MMar 4, 2025 to Feb 19, 2026
- Pension RAUM · $23.5M to $26.7MMar 4, 2025 to Feb 19, 2026
- RAUM · $304M to $344MMar 4, 2025 to Feb 19, 2026
- Employees · 5 to 4Jan 13, 2025 to Mar 4, 2025
- Financial planning clients · unset to Jan 13, 2025 to Mar 4, 2025
- Accounts · 1,018 to 1,053Jan 16, 2024 to Jan 13, 2025
- HNW clients · 62 to 47Jan 16, 2024 to Jan 13, 2025
- Individual clients · 366 to 392Jan 16, 2024 to Jan 13, 2025
- Assets in custody · $91.6M to $0Jan 16, 2024 to Jan 13, 2025
- Discretionary RAUM · $241M to $281MJan 16, 2024 to Jan 13, 2025
- HNW RAUM · $126M to $128MJan 16, 2024 to Jan 13, 2025
- Individual RAUM · $115M to $153MJan 16, 2024 to Jan 13, 2025
- Non-discretionary RAUM · $21.1M to $23.5MJan 16, 2024 to Jan 13, 2025
- Pension RAUM · $21.1M to $23.5MJan 16, 2024 to Jan 13, 2025
- RAUM · $262M to $304MJan 16, 2024 to Jan 13, 2025
- Accounts · 999 to 1,018Feb 9, 2023 to Jan 16, 2024
- Business name · K•••••• S•••••••• W••••• A••••••• L•• to K•••••• W••••• A•••••••• L••Feb 9, 2023 to Jan 16, 2024
- HNW clients · 88 to 62Feb 9, 2023 to Jan 16, 2024
- Individual clients · 329 to 366Feb 9, 2023 to Jan 16, 2024
- Pension plan clients · 4.0 to unsetFeb 9, 2023 to Jan 16, 2024
- Assets in custody · $129M to $91.6MFeb 9, 2023 to Jan 16, 2024
- Legal name · K•••••• S•••••••• W••••• A••••••• L•• to K•••••• W••••• A•••••••• L••Feb 9, 2023 to Jan 16, 2024
- Discretionary RAUM · $209M to $241MFeb 9, 2023 to Jan 16, 2024
- HNW RAUM · $140M to $126MFeb 9, 2023 to Jan 16, 2024
- Individual RAUM · $69.0M to $115MFeb 9, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $20.0M to $21.1MFeb 9, 2023 to Jan 16, 2024
- Pension RAUM · $20.0M to $21.1MFeb 9, 2023 to Jan 16, 2024
- RAUM · $229M to $262MFeb 9, 2023 to Jan 16, 2024
- Accounts · 939 to 999Jan 31, 2022 to Feb 9, 2023
- Advisory activities · 3 to 2Jan 31, 2022 to Feb 9, 2023
Signals
1 dated events
- K•••••• S•••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Feb 17, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 513-554-1472reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/kellett-schaffner-wealth-advisors/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- kellettwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 513-554-1472reportedpublic record, Form ADV, Feb 19, 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
- $86.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026