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
A••••••• F•••••••• S••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 4, 2021 · 10 filings
SEC status approved since Jul 2, 2021
RAUM
$402M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$195M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$80.4M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$402M as of Mar 31, 2026
Mar 30, 2022$180M then
HNW client RAUM$162M as of Mar 31, 2026
Mar 30, 2022$68.7M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 30, 20223 then
Employees (5.A)7 as of Mar 31, 2026
Mar 30, 20227 then
Private funds: no history
RAUM +16% over the last fiscal year+25% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $80.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 50%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$196M49%
- High-net-worth individuals$162M40%
- Individuals$32.9M8.2%
- Corporations and businesses$7.2M1.8%
- Charitable organizations$3.5M0.9%
- Individual clients
- 111reported
- HNW clients
- 71reported
- Pension plan clients
- 37reported
- Charitable clients
- 6reported
- Accounts
- 230reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.5 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••• P• A•••••••Certified Financial Planner, Chartered Financial Analyst | Dayton, Oh | Feb 16, 2018 | 19 y | 3 |
| T•••••• R•• B•••• | Dayton, Oh | Mar 16, 2018 | 14 y | 2 |
| M•••••• J• P•••Certified Financial Planner | Dayton, Oh | May 1, 2023 | 9 y | 4 |
| C••••• L•••Certified Financial Planner, Chartered Financial Consultant | Dayton, Oh | Jun 20, 2024 | 12 y | 2 |
| N••••• E• L••••••Chartered Financial Consultant | Dayton, Oh | Jun 20, 2024 | 15 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 headcount1 left over 36 months
Left, latest
- S•••• S••••••••• to A•••••• A••••••• S•••••••May 28, 2024 · RIA to affiliated broker-dealer or bank
- S•••• D•••• S•••••••• to B•••• S••••••• T•••• W••••• A•••••••• L••Sep 1, 2022 · RIA to RIA
Joined, latest
- C••••• L••• from 1• F••••••••Jun 20, 2024 · RIA to RIA
- M•••••• J• P••• from C••••••• P•••••••• I•••May 1, 2023 · RIA to RIA
- T•••••• R•• B•••• from C••••• • C••••••• I•••Mar 16, 2018 · Other
- S••• P• A••••••• from C••••• • C••••••• I•••Feb 16, 2018 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• • C••••••• I•••Mar 15, 2018 · Dayton, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• S•••• P• · Chief Compliance Officer & Managing Membercontrolsince 10/2017 · 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 |
|---|---|---|---|---|---|
| Dayton, Oh · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 31, 2026institutional share of RAUM of 50% against a peer median of 0% (5678 comparable advisers, 99.0th percentile, 16.6 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 99% percentile
- account count collapseChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 642.0 to 230.0 (-64.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +5.0% (3686 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 642 to 230Mar 28, 2025 to Mar 31, 2026
- Charity clients · 5 to 6Mar 28, 2025 to Mar 31, 2026
- HNW clients · 64 to 71Mar 28, 2025 to Mar 31, 2026
- Individual clients · 134 to 111Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 33 to 37Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $348M to $402MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $145M to $162MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $33.3M to $32.9MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $156M to $196MMar 28, 2025 to Mar 31, 2026
- RAUM · $348M to $402MMar 28, 2025 to Mar 31, 2026
- Accounts · 205 to 642Nov 5, 2024 to Mar 28, 2025
- Advisory employees · 4 to 5Nov 5, 2024 to Mar 28, 2025
- Charity clients · 4 to 5Nov 5, 2024 to Mar 28, 2025
- HNW clients · 56 to 64Nov 5, 2024 to Mar 28, 2025
- Individual clients · 121 to 134Nov 5, 2024 to Mar 28, 2025
- Pension plan clients · 31 to 33Nov 5, 2024 to Mar 28, 2025
- Employees · 6 to 7Nov 5, 2024 to Mar 28, 2025
- Financial planning clients · 101-250 to 101-250Nov 5, 2024 to Mar 28, 2025
- State-registered IARs · 4 to 5Nov 5, 2024 to Mar 28, 2025
- Discretionary RAUM · $246M to $348MNov 5, 2024 to Mar 28, 2025
- HNW RAUM · $73.8M to $145MNov 5, 2024 to Mar 28, 2025
- Individual RAUM · $30.2M to $33.3MNov 5, 2024 to Mar 28, 2025
- Pension RAUM · $130M to $156MNov 5, 2024 to Mar 28, 2025
- RAUM · $246M to $348MNov 5, 2024 to Mar 28, 2025
- Accounts · 469 to 205Sep 12, 2023 to Mar 26, 2024
- Corporate clients · 2 to 5Sep 12, 2023 to Mar 26, 2024
- HNW clients · 47 to 56Sep 12, 2023 to Mar 26, 2024
- Individual clients · 102 to 121Sep 12, 2023 to Mar 26, 2024
- Pension plan clients · 28 to 31Sep 12, 2023 to Mar 26, 2024
- Discretionary RAUM · $206M to $246MSep 12, 2023 to Mar 26, 2024
- HNW RAUM · $52.2M to $73.8MSep 12, 2023 to Mar 26, 2024
- Individual RAUM · $20.2M to $30.2MSep 12, 2023 to Mar 26, 2024
- Pension RAUM · $126M to $130MSep 12, 2023 to Mar 26, 2024
- RAUM · $206M to $246MSep 12, 2023 to Mar 26, 2024
- Advisory employees · 2 to 4Mar 31, 2023 to Sep 12, 2023
- State-registered IARs · 2 to 4Mar 31, 2023 to Sep 12, 2023
- Accounts · 391 to 469Sep 9, 2022 to Mar 31, 2023
- Charity clients · 3 to 4Sep 9, 2022 to Mar 31, 2023
- Corporate clients · 3 to 2Sep 9, 2022 to Mar 31, 2023
- HNW clients · 44 to 47Sep 9, 2022 to Mar 31, 2023
Signals
4 dated events
- A••••••• F•••••••• S••••••••• L•• reported RAUM $348.1M, up 42% from $245.7M (2024-11-05 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- S•••• S••••••••• left A••••••• F•••••••• S••••••••• L•• for A•••••• A••••••• S••••••• (registered 2024-06-04)May 28, 2024 · Advisor changed firm · fact
- S•••• D•••• S•••••••• left A••••••• F•••••••• S••••••••• L•• for B•••• S••••••• T•••• W••••• A•••••••• L•• (registered 2022-09-12)Sep 1, 2022 · Advisor changed firm · fact
- A••••••• F•••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 4, 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
- Business email
- info@andersonfinancialstrategies.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- randall@andersonfinancialstrategies.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- allison@andersonfinancialstrategies.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- tim@andersonfinancialstrategies.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 937-523-0323reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 513-283-8009reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 937-331-8713reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/anderson-financial-strategiesreportedpublic record, Form ADV, Sep 19, 2026
- Website
- andersonfinancialstrategies.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (855)237-4545reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- andersonfinancialstrategies.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- andersonfinancialstrategies.com/team/matt-peckreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $80.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026