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
J•••••• F••••••••
Legal name J•••••• F••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape Feb 15, 2021 · 8 filings
SEC status approved since Mar 17, 2021
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$198M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.3M
derived; firm RAUM over IAPD count
Employees
3
3 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$220M as of Feb 26, 2026
Feb 1, 2022$150M then
HNW client RAUM$80.7M as of Feb 26, 2026
Feb 1, 2022$59.3M then
State-registered IARs (5.B.3)3 as of Feb 26, 2026
Feb 1, 20222 then
Employees (5.A)3 as of Feb 26, 2026
Feb 1, 20223 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 130derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $224,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $105M, 436 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$117M53%
- High-net-worth individuals$80.7M37%
- Pension and profit-sharing plans$22.1M10%
- Individual clients
- 361reported
- HNW clients
- 29reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 979reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $105M for 436 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• C•••••• B•••••Certified Financial Planner | Westerville, Oh | Sep 11, 2017 | 19 y | 4 |
| M••• C•••••• F••••• | Westerville, Oh | Sep 12, 2017 | 15 y | 1 |
| S••• A•••••••• C•••• | Westerville, Oh | Aug 9, 2023 | 11 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
- M••• C•••••• F••••• from S•••••• F•••••••• C•••••••• I•••Sep 12, 2017 · RIA to RIA
- R••• C•••••• B••••• from S•••••• F•••••••• C•••••••• I•••Sep 11, 2017 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••• F•••••••• C•••••••• I•••Sep 19, 2017 · Westerville, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••• C•••••• · General Partner, Managing Member & Chief Compliance Officercontrolsince 06/2017 · owns 50% to 75%
- F•••••• M•••• C•••••• · General Partner, Membercontrolsince 06/2017 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Westerville, Oh · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 945 to 979Oct 17, 2025 to Feb 26, 2026
- Individual clients · 340 to 361Oct 17, 2025 to Feb 26, 2026
- Pension plan clients · 7 to 6Oct 17, 2025 to Feb 26, 2026
- Assets in custody · $90.8M to $105MOct 17, 2025 to Feb 26, 2026
- Discretionary RAUM · $191M to $220MOct 17, 2025 to Feb 26, 2026
- HNW RAUM · $71.6M to $80.7MOct 17, 2025 to Feb 26, 2026
- Individual RAUM · $99.5M to $117MOct 17, 2025 to Feb 26, 2026
- Pension RAUM · $20.3M to $22.1MOct 17, 2025 to Feb 26, 2026
- RAUM · $191M to $220MOct 17, 2025 to Feb 26, 2026
- Accounts · 346 to 945Jan 6, 2024 to Mar 3, 2025
- HNW clients · 37 to 29Jan 6, 2024 to Mar 3, 2025
- Individual clients · 302 to 340Jan 6, 2024 to Mar 3, 2025
- Assets in custody · $6.6M to $90.8MJan 6, 2024 to Mar 3, 2025
- Financial planning clients · 101-250 to 251-500Jan 6, 2024 to Mar 3, 2025
- Discretionary RAUM · $159M to $191MJan 6, 2024 to Mar 3, 2025
- HNW RAUM · $68.3M to $71.6MJan 6, 2024 to Mar 3, 2025
- Individual RAUM · $72.1M to $99.5MJan 6, 2024 to Mar 3, 2025
- Pension RAUM · $18.1M to $20.3MJan 6, 2024 to Mar 3, 2025
- RAUM · $159M to $191MJan 6, 2024 to Mar 3, 2025
- Accounts · 863 to 346Mar 23, 2023 to Jan 6, 2024
- HNW clients · 30 to 37Mar 23, 2023 to Jan 6, 2024
- Individual clients · 295 to 302Mar 23, 2023 to Jan 6, 2024
- Assets in custody · $1.4M to $6.6MMar 23, 2023 to Jan 6, 2024
- State-registered IARs · 2 to 3Mar 23, 2023 to Jan 6, 2024
- Discretionary RAUM · $127M to $159MMar 23, 2023 to Jan 6, 2024
- HNW RAUM · $50.2M to $68.3MMar 23, 2023 to Jan 6, 2024
- Individual RAUM · $63.5M to $72.1MMar 23, 2023 to Jan 6, 2024
- Pension RAUM · $13.5M to $18.1MMar 23, 2023 to Jan 6, 2024
- RAUM · $127M to $159MMar 23, 2023 to Jan 6, 2024
- Accounts · 832 to 863Feb 1, 2022 to Mar 23, 2023
- HNW clients · 29 to 30Feb 1, 2022 to Mar 23, 2023
- Individual clients · 293 to 295Feb 1, 2022 to Mar 23, 2023
- Pension plan clients · 6 to 7Feb 1, 2022 to Mar 23, 2023
- Assets in custody · $3.0M to $1.4MFeb 1, 2022 to Mar 23, 2023
- Other offices · 1 to 0Feb 1, 2022 to Mar 23, 2023
- Discretionary RAUM · $150M to $127MFeb 1, 2022 to Mar 23, 2023
- HNW RAUM · $59.3M to $50.2MFeb 1, 2022 to Mar 23, 2023
- Individual RAUM · $75.3M to $63.5MFeb 1, 2022 to Mar 23, 2023
- Pension RAUM · $15.8M to $13.5MFeb 1, 2022 to Mar 23, 2023
- RAUM · $150M to $127MFeb 1, 2022 to Mar 23, 2023
Signals
1 dated events
- J•••••• F•••••••• filed its initial SEC registration (Form ADV)Feb 15, 2021 · 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
- PLANJ••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (614) 948-0039reportedpublic record, Form ADV, Feb 26, 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
- $73.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026