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
W••••• M••••••••• O• T•• B••••••••• L•••
Latest filing Mar 20, 2026
First filing on the tape Mar 30, 2023 · 4 filings
SEC status approved since Apr 28, 2023
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$156M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.4M
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
4 filings and snapshots on the tape
RAUM$187M as of Mar 20, 2026
Apr 1, 2024$143M then
HNW client RAUM$140M as of Mar 20, 2026
Apr 1, 2024$93.5M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Apr 1, 20242 then
Employees (5.A)2 as of Mar 20, 2026
Apr 1, 20242 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $90.0M, 53 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)
- 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
- High-net-worth individuals$140M75%
- State and municipal entities$30.4M16%
- Individuals$16.1M8.6%
- Charitable organizations$10,7480.0%
- Individual clients
- 82reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 160reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.0M for 53 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 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 |
|---|---|---|---|---|
| J•••• C••••••••• G••••••Certified Financial Planner | Lexington, Ky | Jul 28, 2017 | 25 y | 3 |
| J•••• C••• G••• | Lexington, Ky | Jul 2, 2020 | 20 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
- J•••• C••••••••• G•••••• from A••••• A•• P••••••• S•••••••Jul 28, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J••••• C••••••••• · Managing Principal / Ccocontrolsince 06/2017 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 246 to 160Mar 20, 2025 to Mar 20, 2026
- HNW clients · 51 to 71Mar 20, 2025 to Mar 20, 2026
- Individual clients · 129 to 82Mar 20, 2025 to Mar 20, 2026
- Assets in custody · $91.2M to $90.0MMar 20, 2025 to Mar 20, 2026
- Discretionary RAUM · $167M to $187MMar 20, 2025 to Mar 20, 2026
- HNW RAUM · $116M to $140MMar 20, 2025 to Mar 20, 2026
- Individual RAUM · $23.0M to $16.1MMar 20, 2025 to Mar 20, 2026
- RAUM · $167M to $187MMar 20, 2025 to Mar 20, 2026
- Accounts · 239 to 246Apr 1, 2024 to Mar 20, 2025
- Charity clients · 1.0 to unsetApr 1, 2024 to Mar 20, 2025
- HNW clients · 32 to 51Apr 1, 2024 to Mar 20, 2025
- Individual clients · 108 to 129Apr 1, 2024 to Mar 20, 2025
- Assets in custody · $96,670 to $91.2MApr 1, 2024 to Mar 20, 2025
- Custody of client assets · false to trueApr 1, 2024 to Mar 20, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $143M to $167MApr 1, 2024 to Mar 20, 2025
- HNW RAUM · $93.5M to $116MApr 1, 2024 to Mar 20, 2025
- Individual RAUM · $28.7M to $23.0MApr 1, 2024 to Mar 20, 2025
- RAUM · $143M to $167MApr 1, 2024 to Mar 20, 2025
- Accounts · 213 to 239Mar 30, 2023 to Apr 1, 2024
- Charity clients · unset to 1.0Mar 30, 2023 to Apr 1, 2024
- HNW clients · 37 to 32Mar 30, 2023 to Apr 1, 2024
- Individual clients · 95 to 108Mar 30, 2023 to Apr 1, 2024
- Assets in custody · $118M to $96,670Mar 30, 2023 to Apr 1, 2024
- Discretionary RAUM · $118M to $143MMar 30, 2023 to Apr 1, 2024
- HNW RAUM · $79.3M to $93.5MMar 30, 2023 to Apr 1, 2024
- Individual RAUM · $20.2M to $28.7MMar 30, 2023 to Apr 1, 2024
- RAUM · $118M to $143MMar 30, 2023 to Apr 1, 2024
Signals
1 dated events
- W••••• M••••••••• O• T•• B••••••••• L••• filed its initial SEC registration (Form ADV)Mar 30, 2023 · 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
- 859-420-4838reportedpublic record, Form ADV, Mar 20, 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
- $93.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026