DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

F••••• F•••••••• W••••• M••••••••• G••••• L••

Independent wealth managerSEC-registered· Cincinnati, Ohiowebsite

Independent wealth manager, based in Cincinnati, Ohio, reporting $193M of regulatory assets across 2 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-08-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $193M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +4.9%
Private clients: 100% of RAUM, $193M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-08-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 291484 · SEC 801-112274 · 25 filingsShow

CRD 291484SEC 801-112274First filing on the tape Dec 8, 2017, latest Aug 21, 2026SEC status approved since Jan 2, 2018IAPD

RAUM

$193M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$193M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$96.7M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

25 filings and snapshots on the tape

RAUM$193M as of Aug 21, 2026

Jan 23, 2019$115M then

HNW client RAUM$146M as of Aug 21, 2026

Jan 23, 2019$80.1M then

State-registered IARs (5.B.3)2 as of Aug 21, 2026

Jan 23, 20193 then

Employees (5.A)4 as of Aug 21, 2026

Jan 23, 20193 then

Private funds: no history

RAUM +4.9% over the last fiscal year+7.2% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Aug 21, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $96.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 109derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.5MderivedHNW RAUM over HNW clients
Average account: $325,073derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +4.9%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.3%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $193MreportedItem 5.I
Custody: $193M, 595 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

is an insurance broker or agent (6.A.6)
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)
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$146M76%
Individuals$47.3M24%

Individual clients: 160reported
HNW clients: 58reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 595reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: $193M for 595 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived

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

D••••• P••• M••••••• from W•••• F•••• A•••••••
Jan 19, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
D••••• P••• M••••••• from W•••• F•••• A•••••••
Jan 19, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the 10 longest tenured

Name	Branch	Here since	In industry	Prior firms
D••••• P••• M•••••••	Cincinnati, Oh	Jan 19, 2018	44 y	3
D••••• P••• M•••••••	Cincinnati, Oh	Jan 19, 2018	28 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••••• D•••••• P••• · Managing Membercontrol
since 04/2016 · owns 50% to 75%
M•••••••• D•••••• P••• · Managing Member And Ccocontrol
since 04/2016 · owns 50% to 75%

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
Cincinnati, Oh · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 690 to 595
Oct 16, 2025 to Jan 23, 2026
HNW clients · 49 to 58
Oct 16, 2025 to Jan 23, 2026
Individual clients · 156 to 160
Oct 16, 2025 to Jan 23, 2026
Pension plan clients · 21.0 to unset
Oct 16, 2025 to Jan 23, 2026
Assets in custody · $184M to $193M
Oct 16, 2025 to Jan 23, 2026

Full history · 80 changes

Employees · 3 to 4
Oct 16, 2025 to Jan 23, 2026
Discretionary RAUM · $184M to $193M
Oct 16, 2025 to Jan 23, 2026
HNW RAUM · $120M to $146M
Oct 16, 2025 to Jan 23, 2026
Individual RAUM · $54.8M to $47.3M
Oct 16, 2025 to Jan 23, 2026
Pension RAUM · 9592327.0 to unset
Oct 16, 2025 to Jan 23, 2026
RAUM · $184M to $193M
Oct 16, 2025 to Jan 23, 2026
Financial planning clients · 0 to 0
Mar 28, 2025 to Oct 16, 2025
Accounts · 671 to 690
Jan 17, 2024 to Feb 17, 2025
HNW clients · 47 to 49
Jan 17, 2024 to Feb 17, 2025
Individual clients · 160 to 156
Jan 17, 2024 to Feb 17, 2025
Pension plan clients · 5 to 21
Jan 17, 2024 to Feb 17, 2025
Assets in custody · $95.5M to $184M
Jan 17, 2024 to Feb 17, 2025
Discretionary RAUM · $171M to $184M
Jan 17, 2024 to Feb 17, 2025
HNW RAUM · $120M to $120M
Jan 17, 2024 to Feb 17, 2025
Individual RAUM · $45.4M to $54.8M
Jan 17, 2024 to Feb 17, 2025
Pension RAUM · $6.3M to $9.6M
Jan 17, 2024 to Feb 17, 2025
RAUM · $171M to $184M
Jan 17, 2024 to Feb 17, 2025
Accounts · 663 to 671
Aug 28, 2023 to Jan 17, 2024
HNW clients · 42 to 47
Aug 28, 2023 to Jan 17, 2024
Individual clients · 155 to 160
Aug 28, 2023 to Jan 17, 2024
Pension plan clients · unset to 5.0
Aug 28, 2023 to Jan 17, 2024
Assets in custody · $6.7M to $95.5M
Aug 28, 2023 to Jan 17, 2024
Employees · 2 to 3
Aug 28, 2023 to Jan 17, 2024
Other offices · 0 to 1
Aug 28, 2023 to Jan 17, 2024
Discretionary RAUM · $157M to $171M
Aug 28, 2023 to Jan 17, 2024
HNW RAUM · $106M to $120M
Aug 28, 2023 to Jan 17, 2024
Individual RAUM · $44.0M to $45.4M
Aug 28, 2023 to Jan 17, 2024
Pension RAUM · $7.3M to $6.3M
Aug 28, 2023 to Jan 17, 2024
RAUM · $157M to $171M
Aug 28, 2023 to Jan 17, 2024
Accounts · 642 to 663
Nov 4, 2022 to Feb 21, 2023
Advisory employees · 3 to 2
Nov 4, 2022 to Feb 21, 2023
BD registered reps · 2 to 1
Nov 4, 2022 to Feb 21, 2023
HNW clients · 30 to 42
Nov 4, 2022 to Feb 21, 2023
Individual clients · 608 to 155
Nov 4, 2022 to Feb 21, 2023
Pension plan clients · 1.0 to unset
Nov 4, 2022 to Feb 21, 2023
Assets in custody · unset to 6710000.0
Nov 4, 2022 to Feb 21, 2023
Custody of client assets · false to true
Nov 4, 2022 to Feb 21, 2023
Employees · 3 to 2
Nov 4, 2022 to Feb 21, 2023
State-registered IARs · 3 to 2
Nov 4, 2022 to Feb 21, 2023
Discretionary RAUM · $158M to $157M
Nov 4, 2022 to Feb 21, 2023
HNW RAUM · $66.5M to $106M
Nov 4, 2022 to Feb 21, 2023
Individual RAUM · $83.1M to $44.0M
Nov 4, 2022 to Feb 21, 2023
Pension RAUM · $8.1M to $7.3M
Nov 4, 2022 to Feb 21, 2023
RAUM · $158M to $157M
Nov 4, 2022 to Feb 21, 2023
Accounts · 539 to 642
Jan 21, 2021 to Feb 12, 2022
HNW clients · 31 to 30
Jan 21, 2021 to Feb 12, 2022
Individual clients · 130 to 608
Jan 21, 2021 to Feb 12, 2022
Discretionary RAUM · $145M to $158M
Jan 21, 2021 to Feb 12, 2022
HNW RAUM · $80.3M to $66.5M
Jan 21, 2021 to Feb 12, 2022
Individual RAUM · $57.7M to $83.1M
Jan 21, 2021 to Feb 12, 2022
Pension RAUM · $6.5M to $8.1M
Jan 21, 2021 to Feb 12, 2022
RAUM · $145M to $158M
Jan 21, 2021 to Feb 12, 2022
Accounts · 515 to 539
Jun 26, 2020 to Jan 21, 2021
HNW clients · 39 to 31
Jun 26, 2020 to Jan 21, 2021
Individual clients · 131 to 130
Jun 26, 2020 to Jan 21, 2021
Discretionary RAUM · $134M to $145M
Jun 26, 2020 to Jan 21, 2021
HNW RAUM · $100M to $80.3M
Jun 26, 2020 to Jan 21, 2021
Individual RAUM · $33.0M to $57.7M
Jun 26, 2020 to Jan 21, 2021
Pension RAUM · $1.2M to $6.5M
Jun 26, 2020 to Jan 21, 2021
RAUM · $134M to $145M
Jun 26, 2020 to Jan 21, 2021
Accounts · 464 to 515
Jan 23, 2019 to Mar 23, 2020
HNW clients · 32 to 39
Jan 23, 2019 to Mar 23, 2020
Individual clients · 129 to 131
Jan 23, 2019 to Mar 23, 2020
Pension plan clients · unset to 1.0
Jan 23, 2019 to Mar 23, 2020
Other offices · 1 to 0
Jan 23, 2019 to Mar 23, 2020
Discretionary RAUM · $115M to $134M
Jan 23, 2019 to Mar 23, 2020
HNW RAUM · $80.1M to $100M
Jan 23, 2019 to Mar 23, 2020
Individual RAUM · $29.7M to $33.0M
Jan 23, 2019 to Mar 23, 2020
Pension RAUM · $5.0M to $1.2M
Jan 23, 2019 to Mar 23, 2020
RAUM · $115M to $134M
Jan 23, 2019 to Mar 23, 2020
Accounts · 380 to 464
Oct 9, 2018 to Jan 23, 2019
HNW clients · 34 to 32
Oct 9, 2018 to Jan 23, 2019
Individual clients · 120 to 129
Oct 9, 2018 to Jan 23, 2019
Pension plan clients · 5.0 to unset
Oct 9, 2018 to Jan 23, 2019
Discretionary RAUM · $87.6M to $115M
Oct 9, 2018 to Jan 23, 2019

Signals

1 dated events

••• Locked
Dec 8, 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

Website: ••• Lockedreportedpublic record, Form ADV, Aug 21, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 21, 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: $96.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026