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••••••••• W••••• A•••••••• L••

Former SEC-registered adviserCincinnati, OhioCRD 289860SEC 801-111760IAPD
Latest filing Mar 24, 2020
First filing on the tape Aug 28, 2017 · 9 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$80.8M as of Feb 13, 2019
Mar 5, 2018$20.8M then
HNW client RAUM$63.6M as of Feb 13, 2019
Mar 5, 2018$9.1M then
State-registered IARs (5.B.3)0 as of Mar 24, 2020
Mar 5, 20186 then
Employees (5.A)0 as of Mar 24, 2020
Mar 5, 20186 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 9 to 0
Practice profile
derived from the filing of Mar 24, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
Left, latest
none on the tape
    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
      • L•••••• P••••••• A••• · Managing Member/Chief Compliance Officercontrol
        since 08/2017 · owns 25% to 50%
      • R•••••• J••••• P•••••• · Managing Membercontrol
        since 08/2017 · owns 25% to 50%
      • V••••• T•••••••• M•••••• · Managing Membercontrol
        since 09/2018 · owns less than 5%
      • W•••••••• J•••• M••••••• · Managing Membercontrol
        since 08/2017 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 179.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Advisory employees · 9 to 0
        Feb 13, 2019 to Mar 24, 2020
      • Advisory activities · 4 to 1
        Feb 13, 2019 to Mar 24, 2020
      • HNW clients · 13.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Individual clients · 47.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Assets in custody · 8672136.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Custody of client assets · true to false
        Feb 13, 2019 to Mar 24, 2020
      • Employees · 9 to 0
        Feb 13, 2019 to Mar 24, 2020
      • Insurance-licensed employees · 5 to 0
        Feb 13, 2019 to Mar 24, 2020
      • Financial planning clients · 51-100 to 0
        Feb 13, 2019 to Mar 24, 2020
      • State-registered IARs · 9 to 0
        Feb 13, 2019 to Mar 24, 2020
      • Discretionary RAUM · 80754714.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • HNW RAUM · 63646598.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Individual RAUM · 17108116.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Non-discretionary RAUM · 0.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • RAUM · 80754714.0 to unset
        Feb 13, 2019 to Mar 24, 2020
      • Accounts · 101 to 179
        Nov 19, 2018 to Feb 13, 2019
      • Advisory activities · 3 to 4
        Nov 19, 2018 to Feb 13, 2019
      • HNW clients · 6 to 13
        Nov 19, 2018 to Feb 13, 2019
      • Individual clients · 24 to 47
        Nov 19, 2018 to Feb 13, 2019
      • Assets in custody · $5.2M to $8.7M
        Nov 19, 2018 to Feb 13, 2019
      • Insurance-licensed employees · 4 to 5
        Nov 19, 2018 to Feb 13, 2019
      • Financial planning clients · 11-25 to 51-100
        Nov 19, 2018 to Feb 13, 2019
      • Discretionary RAUM · $20.8M to $80.8M
        Nov 19, 2018 to Feb 13, 2019
      • HNW RAUM · $9.1M to $63.6M
        Nov 19, 2018 to Feb 13, 2019
      • Individual RAUM · $11.6M to $17.1M
        Nov 19, 2018 to Feb 13, 2019
      • RAUM · $20.8M to $80.8M
        Nov 19, 2018 to Feb 13, 2019
      • Advisory employees · 6 to 9
        Oct 15, 2018 to Nov 19, 2018
      • Assets in custody · unset to 5226141.0
        Oct 15, 2018 to Nov 19, 2018
      • Custody of client assets · false to true
        Oct 15, 2018 to Nov 19, 2018
      • Employees · 6 to 9
        Oct 15, 2018 to Nov 19, 2018
      • Insurance-licensed employees · 3 to 4
        Oct 15, 2018 to Nov 19, 2018
      • State-registered IARs · 6 to 9
        Oct 15, 2018 to Nov 19, 2018
      • Accounts · 0 to 101
        Sep 29, 2017 to Mar 5, 2018
      • Advisory employees · 3 to 6
        Sep 29, 2017 to Mar 5, 2018
      • HNW clients · unset to 6.0
        Sep 29, 2017 to Mar 5, 2018
      • Individual clients · unset to 24.0
        Sep 29, 2017 to Mar 5, 2018
      • Employees · 3 to 6
        Sep 29, 2017 to Mar 5, 2018
      • Financial planning clients · 0 to 11-25
        Sep 29, 2017 to Mar 5, 2018
      • State-registered IARs · 3 to 6
        Sep 29, 2017 to Mar 5, 2018
      Signals
      2 dated events
      • M•••••• Terrence Veith (Managing Member) appeared on Schedule A of C••••••••• W••••• A•••••••• L••
        Feb 13, 2019 · Control person joined · fact
      • C••••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 28, 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