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

C••••••••• F•••••••• P••••••• L••

Former SEC-registered adviserColumbus, OhioCRD 289444SEC 801-111094IAPD
Latest filing Mar 31, 2022
First filing on the tape Aug 3, 2017 · 18 filings
RAUM
$103M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$103M as of Mar 31, 2022
Mar 8, 2018$101M then
HNW client RAUM$47.7M as of Mar 31, 2022
Mar 8, 2018$21.7M then
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Mar 8, 20182 then
Employees (5.A)6 as of Mar 31, 2022
Mar 8, 20186 then
Private funds: no history
RAUM +10% over the last fiscal year-6.9% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Mar 31, 2022; every figure names its basis
RAUM per advisor
$34.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
102derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$123,481derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+10%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
+24%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Wrap fee program
$87.9MreportedItem 5.I
Custody
$79.8M, 195 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$55.5M54%
  • High-net-worth individuals$47.7M46%
Individual clients
276reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
836reported
Financial planning clients
51-100reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
$79.8M for 195 clientsreported
Compensation
% of AUM, fixedreported
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
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
    • J••••••• C••••••••• K•••••• · Managing Member, Chief Executive Officer And Chief Compliance Officercontrol
      since 09/2017 · owns 75% or more
    Related persons
    Schedule D 7.A
    • C••••••••• I•••••••• P•••••••
      real estatey
    Offices
    Schedule D 1.F, the 25 largest
    • Nelsonville, OH1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 913 to 836
      Mar 29, 2021 to Mar 31, 2022
    • Advisory employees · 4 to 3
      Mar 29, 2021 to Mar 31, 2022
    • Advisory activities · 2 to 3
      Mar 29, 2021 to Mar 31, 2022
    • HNW clients · 22 to 29
      Mar 29, 2021 to Mar 31, 2022
    • Individual clients · 224 to 276
      Mar 29, 2021 to Mar 31, 2022
    • Assets in custody · $13.6M to $79.8M
      Mar 29, 2021 to Mar 31, 2022
    • Insurance-licensed employees · 0 to 1
      Mar 29, 2021 to Mar 31, 2022
    • Financial planning clients · 101-250 to 51-100
      Mar 29, 2021 to Mar 31, 2022
    • State-registered IARs · 2 to 3
      Mar 29, 2021 to Mar 31, 2022
    • Discretionary RAUM · $78.2M to $85.6M
      Mar 29, 2021 to Mar 31, 2022
    • HNW RAUM · $36.0M to $47.7M
      Mar 29, 2021 to Mar 31, 2022
    • Individual RAUM · $57.5M to $55.5M
      Mar 29, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $15.3M to $17.6M
      Mar 29, 2021 to Mar 31, 2022
    • RAUM · $93.5M to $103M
      Mar 29, 2021 to Mar 31, 2022
    • Accounts · 1,206 to 913
      Dec 7, 2020 to Mar 29, 2021
    • Advisory employees · 3 to 4
      Dec 7, 2020 to Mar 29, 2021
    • HNW clients · 14 to 22
      Dec 7, 2020 to Mar 29, 2021
    • Individual clients · 322 to 224
      Dec 7, 2020 to Mar 29, 2021
    • Assets in custody · $4.2M to $13.6M
      Dec 7, 2020 to Mar 29, 2021
    • Employees · 3 to 6
      Dec 7, 2020 to Mar 29, 2021
    • State-registered IARs · 3 to 2
      Dec 7, 2020 to Mar 29, 2021
    • Discretionary RAUM · $100M to $78.2M
      Dec 7, 2020 to Mar 29, 2021
    • HNW RAUM · $28.8M to $36.0M
      Dec 7, 2020 to Mar 29, 2021
    • Individual RAUM · $89.4M to $57.5M
      Dec 7, 2020 to Mar 29, 2021
    • Non-discretionary RAUM · $18.2M to $15.3M
      Dec 7, 2020 to Mar 29, 2021
    • RAUM · $118M to $93.5M
      Dec 7, 2020 to Mar 29, 2021
    • Employees · 6 to 3
      Jun 30, 2020 to Dec 7, 2020
    • Assets in custody · $20.0M to $4.2M
      Jun 3, 2020 to Jun 30, 2020
    • Accounts · 1,735 to 1,206
      Dec 4, 2019 to Mar 24, 2020
    • HNW clients · 47 to 14
      Dec 4, 2019 to Mar 24, 2020
    • Individual clients · 255 to 322
      Dec 4, 2019 to Mar 24, 2020
    • Assets in custody · $100,000 to $20.0M
      Dec 4, 2019 to Mar 24, 2020
    • Discretionary RAUM · $80.0M to $100M
      Dec 4, 2019 to Mar 24, 2020
    • HNW RAUM · $60.0M to $28.8M
      Dec 4, 2019 to Mar 24, 2020
    • Individual RAUM · $68.0M to $89.4M
      Dec 4, 2019 to Mar 24, 2020
    • Non-discretionary RAUM · $48.0M to $18.2M
      Dec 4, 2019 to Mar 24, 2020
    • RAUM · $128M to $118M
      Dec 4, 2019 to Mar 24, 2020
    • Accounts · 1,201 to 1,735
      Mar 8, 2018 to Mar 13, 2019
    • Advisory employees · 2 to 3
      Mar 8, 2018 to Mar 13, 2019
    • Advisory activities · 3 to 2
      Mar 8, 2018 to Mar 13, 2019
    Signals
    3 dated events
    • C••••••••• K•••••• J•••••• left C••••••••• F•••••••• P••••••• L•• for V•••••• F•••••••• P•••••••• L•• (registered 2023-02-09)
      Dec 31, 2022 · Advisor changed firm · fact
    • Marie Meghan Mader (Member) no longer on Schedule A of C••••••••• F•••••••• P••••••• L•• (listed 2020-12-07, absent 2021-03-29)
      Mar 29, 2021 · Control person left · inference
    • C••••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
      Aug 3, 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