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
R••••••• W••••• A••••••• I•••
Latest filing Jun 23, 2026
First filing on the tape Oct 26, 2017 · 18 filings
SEC status approved since Nov 27, 2017
RAUM
$294M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
72%
$211M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$97.9M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$294M as of Jun 23, 2026
Feb 20, 2018$115M then
HNW client RAUM$162M as of Jun 23, 2026
Feb 20, 2018$25.3M then
State-registered IARs (5.B.3)3 as of Jun 23, 2026
Feb 20, 20182 then
Employees (5.A)4 as of Jun 23, 2026
Feb 20, 20182 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jun 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $97.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 265derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $366,965derivedHNW RAUM over HNW clients
- Average account
- $359,993derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +121%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
- $75.1M, 253 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$162M55%
- Corporations and businesses$80.8M27%
- Individuals$48.9M17%
- Charitable organizations$1.7M0.6%
- State and municipal entities$223,4370.1%
- Individual clients
- 354reported
- HNW clients
- 442reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 816reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $75.1M for 253 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| S•••• J•••••• H•••••Certified Financial Planner | Findlay, Oh | Dec 1, 2017 | 31 y | 2 |
| R••• G••••Certified Financial Planner | Findlay, Oh | Sep 30, 2022 | 15 y | 0 |
| B•••••• A•••• T••••• | Findlay, Oh | Nov 15, 2023 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- B••• T•••• B••••• to S•••• F•••••••• I••••••••• M••••••••• L••Feb 9, 2026 · RIA to a state-registered adviser
- E••• N••••• Z•••• to M•••••• I•••••••••Jun 10, 2021 · RIA to RIA
- B••• T•••• B••••• to W••••••••• F•••••••• P•••••••Sep 30, 2020 · Other
Joined, latest
- B••• T•••• B••••• from W••••••••• F•••••••• P•••••••Aug 20, 2021 · Other
- S•••• J•••••• H••••• from S•••••••• I••••••••• A•••••••• L••Dec 1, 2017 · Other
- E••• N••••• Z•••• from S•••••••• I••••••••• A•••••••• L••Dec 1, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• I••••••••• A•••••••• L••Dec 31, 2017 · Findlay, Oh
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• S••••• J•••••• · Cco, Presidentcontrolsince 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 |
|---|---|---|---|---|---|
| Findlay, Oh · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per a••••••Static outlier · filing Jun 23, 2026private clients per advisor of 265.3 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 5.9 robust deviations)peers: WEALTH_I•••••••••, $100M to $500M (3,076) · 99% percentile
- client count surgeChange between filings · filing Mar 24, 2026individual and HNW clients (Item 5.D) moved from 360.0 to 796.0 (+121.0%) between the annual amendments of 2025-03-21 and 2026-03-24; the peer median change was +3.0% (3309 comparable advisers, 99.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (3,309) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 748 to 816Mar 21, 2025 to Mar 24, 2026
- Advisory employees · 4 to 3Mar 21, 2025 to Mar 24, 2026
- Charity clients · 1 to 5Mar 21, 2025 to Mar 24, 2026
- Corporate clients · 3 to 13Mar 21, 2025 to Mar 24, 2026
- HNW clients · 150 to 442Mar 21, 2025 to Mar 24, 2026
- Individual clients · 210 to 354Mar 21, 2025 to Mar 24, 2026
- Pension plan clients · 0.0 to unsetMar 21, 2025 to Mar 24, 2026
- Assets in custody · $26.8M to $75.1MMar 21, 2025 to Mar 24, 2026
- Employees · 6 to 4Mar 21, 2025 to Mar 24, 2026
- Financial planning clients · More than 500 to 0Mar 21, 2025 to Mar 24, 2026
- State-registered IARs · 4 to 3Mar 21, 2025 to Mar 24, 2026
- Discretionary RAUM · $189M to $214MMar 21, 2025 to Mar 24, 2026
- HNW RAUM · $149M to $162MMar 21, 2025 to Mar 24, 2026
- Individual RAUM · $41.3M to $48.9MMar 21, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $69.1M to $79.4MMar 21, 2025 to Mar 24, 2026
- RAUM · $258M to $294MMar 21, 2025 to Mar 24, 2026
- Accounts · 657 to 748Mar 28, 2024 to Mar 21, 2025
- Charity clients · 2 to 1Mar 28, 2024 to Mar 21, 2025
- Corporate clients · 1 to 3Mar 28, 2024 to Mar 21, 2025
- HNW clients · 131 to 150Mar 28, 2024 to Mar 21, 2025
- Individual clients · 165 to 210Mar 28, 2024 to Mar 21, 2025
- Pension plan clients · 12 to 0Mar 28, 2024 to Mar 21, 2025
- Assets in custody · $19.7M to $26.8MMar 28, 2024 to Mar 21, 2025
- Financial planning clients · 251-500 to More than 500Mar 28, 2024 to Mar 21, 2025
- Discretionary RAUM · $199M to $189MMar 28, 2024 to Mar 21, 2025
- HNW RAUM · $113M to $149MMar 28, 2024 to Mar 21, 2025
- Individual RAUM · $24.0M to $41.3MMar 28, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $302,616 to $69.1MMar 28, 2024 to Mar 21, 2025
- Pension RAUM · 60719764.0 to unsetMar 28, 2024 to Mar 21, 2025
- RAUM · $200M to $258MMar 28, 2024 to Mar 21, 2025
- Accounts · 641 to 657May 4, 2023 to Mar 28, 2024
- Charity clients · 3 to 2May 4, 2023 to Mar 28, 2024
- HNW clients · 132 to 131May 4, 2023 to Mar 28, 2024
- Individual clients · 138 to 165May 4, 2023 to Mar 28, 2024
- Pension plan clients · 10 to 12May 4, 2023 to Mar 28, 2024
- Assets in custody · $34.7M to $19.7MMay 4, 2023 to Mar 28, 2024
- Financial planning clients · 101-250 to 251-500May 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $121M to $199MMay 4, 2023 to Mar 28, 2024
- HNW RAUM · $100M to $113MMay 4, 2023 to Mar 28, 2024
- Individual RAUM · $20.6M to $24.0MMay 4, 2023 to Mar 28, 2024
Signals
2 dated events
- B••• T•••• B••••• left R••••••• W••••• A••••••• I••• for S•••• F•••••••• I••••••••• M••••••••• L•• (registered 2026-06-22)Feb 9, 2026 · a•••••• firm change · fact
- W•••••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Oct 26, 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.
How to reach
public business contact points only, each with its source
- Business email
- contact@resoluteadvisor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 419-422-4400reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/resolute-wealth-advisorreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.R•••••••A••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 419-422-4400reportedpublic record, Form ADV, Jun 23, 2026
- Team page
- RESOLUTEADVISOR.COM/teamreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026